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Searching Content by Bruce Newman from WilmerHale ordered by Published Date Descending.
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1
The Countdown Is On! Building A Reg BI Compliance Program As Deadlines Loom
On June 5, 2019, the SEC adopted a package of rulemakings and interpretations designed to enhance the quality and transparency of investors' relationships with broker-dealers and investment advisers.
United States
4 Sep 2019
2
The SEC Adopts Security-Based Swap Rules Governing Capital, Margin And Segregation
On June 21, 2019, the SEC adopted a package of rules and rule amendments that set forth the capital, margin and segregation requirements for security-based swap dealers and major security-based swap participants.
United States
2 Aug 2019
3
FINRA Issues New Guidance On Credit For Extraordinary Cooperation
FINRA also highlighted examples of recent enforcement actions in which credit was given to respondents.
United States
17 Jul 2019
4
SEC Adopts Significant Changes To Regulation ATS
On July 18, 2018, the Securities and Exchange Commission voted unanimously to adopt significant amendments to Regulation ATS.
United States
12 Sep 2018
5
FINRA Requests Comment on Proposed New Outside Business Activities Rule
FINRA requests comment on all aspects of the proposal, and specifically requests comment on the issues listed in Appendix A.
United States
4 Apr 2018
6
US Department Of The Treasury: A Financial System That Creates Economic Opportunities—Capital Markets
In October 2017, the US Department of the Treasury (Treasury) published a report titled "A Financial System That Creates Economic Opportunities" (Treasury Report).
United States
30 Nov 2017
7
SEC Confirms Certain ICOs Are Securities Offerings; Regulators Renew Focus On Cryptocurrencies
An ICO, or initial coin offering, is the sale of virtual coins or tokens, often as a means of capital raising by startup companies that are involved in blockchain technology.
United States
7 Aug 2017
8
FINRA And The MSRB Issue FAQs On Bond Mark-Up Disclosure
On July 12, 2017, the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB) published new implementation guidance on the bond mark-up...
United States
25 Jul 2017
9
SEC Approves Bond Mark-Up Disclosure Rules
FINRA and the MSRB will announce when the new rules will take effect in an upcoming regulatory notice.
United States
1 Dec 2016
10
SEC's Equity Market Structure Advisory Committee Considers An Access Fee Pilot And Changes To The Regulation Of Trading Venues
On April 26, 2016, the Equity Market Structure Advisory Committee (EMSAC or Committee) held its fourth meeting at the Securities and Exchange Commission (Commission or SEC) in Washington DC.
United States
12 May 2016
11
Registration Of Associated Persons With Algorithmic Trading Responsibilities
On April 7, 2016, the Securities and Exchange Commission ("SEC") approved the Financial Industry Regulatory Authority's ("FINRA") proposal to amend NASD Rule 1032 (Categories of Representative Registration) ...
United States
15 Apr 2016
12
SEC's Equity Market Structure Advisory Committee Considers Market Volatility And Customer Issues
As an advisory committee to the SEC, EMSAC is organized and operates pursuant to the Federal Advisory Committee Act.
United States
2 Mar 2016
13
SEC Proposes Significant Regulatory Changes For Alternative Trading Systems
The Securities and Exchange Commission recently proposed significant changes to the regulatory requirements applicable to dark pools and other alternative trading systems that trade national market system stocks.
United States
5 Jan 2016
14
CFTC Proposes "Regulation AT" For Automated Trading
On November 24, 2015, the Commodity Futures Trading Commission (CFTC or Commission) proposed a new regulatory regime for automated trading on US designated contract markets (DCM) (Regulation AT or the proposal).
United States
16 Dec 2015
15
CFTC Updates Position Limits Rule
On September 22, 2015, the Commodity Futures Trading Commission (CFTC or Commission) unanimously approved the publication of a "supplemental" proposed rule on position limits.
United States
30 Sep 2015
16
SEC Approves NMS Plan To Implement Tick Size Pilot For Small Cap Stocks
In June 2014, the Securities and Exchange Commission ("SEC" or "Commission") issued an order directing the national securities exchanges and the Financial Industry Regulatory Authority (collectively, the "Participants") to act jointly in developing and filing with the Commission a national market system plan to implement a tick size pilot program ("Order").
United States
13 Jul 2015
17
SEC Equity Market Structure Advisory Committee: Assessing Complexity In The U.S. Equity Markets
On May 13, 2015, the Equity Market Structure Advisory Committee (the "EMSAC" or "Committee") held its inaugural meeting (the "Inaugural Meeting") at the Securities and Exchange Commission (the "Commission" or "SEC") in Washington, D.C.
United States
22 May 2015
18
SEC Proposes Rules To Oversee Non-US Firms’ Swap Activity In The United States
On April 29, 2015, the US Securities and Exchange Commission (SEC) proposed new rules to enhance its oversight of non-US firms' security-based swap activity in the United States.
United States
1 May 2015
19
Expanding Oversight Of Active, Proprietary Trading Firms: SEC Proposes Amendments To Rule 15b9-1
On March 25, 2015, the Securities and Exchange Commission ("SEC" or "Commission") proposed an amendment to Rule 15b9-1 (the "Proposal") under the Securities Exchange Act of 1934 ("Exchange Act") that, if adopted, would close an historical exception to the general requirement that registered broker-dealers must become members of a registered national securities association ..
United States
14 Apr 2015
20
SEC Requests Comment On NMS Plan To Implement Tick Size Pilot Program For Small Cap Stocks
In June, the Securities and Exchange Commission ("SEC" or "Commission") issued an order directing the national securities exchanges and the Financial Industry Regulatory Authority (collectively, the "Participants") to act jointly in developing and filing with the Commission a national market system plan to implement a tick size pilot program ("Order").
United States
16 Dec 2014
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