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Searching Content indexed under Finance and Banking by Bruce Newman ordered by Published Date Descending.
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1
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
2
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
3
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
4
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
5
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
6
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
7
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
8
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
9
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
10
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
11
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
12
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
13
SEC Approves New Consolidated FINRA Supervision Rules And FINRA Establishes An Effective Date
Last week, FINRA issued a Regulatory Notice describing changes to its supervision rules and announcing an effective date of December 1, 2014.
United States
27 Mar 2014
14
The Volcker Rule Handbook: A Detailed Look At The Final Rule Implementing Section 619 Of The Dodd-Frank Act
Three and a half years after passage of the Dodd-Frank Act, the much anticipated final Volcker Rule has been issued. On December 10, 2013, the federal banking regulators, the Securities and Exchange Commission ("SEC"), and the Commodity Futures Trading Commission ("CFTC") (collectively, the "Agencies") issued a final rule ("Final Rule") to implement Section 13 of the Bank Holding Company Act of 1956 ("BHCA") ...
United States
24 Dec 2013
15
Addressing The Need For Speed: CFTC Seeks Comment On Risk Controls For Automated Trading Environments
Summary: On September 12, 2013, the Commodity Futures Trading Commission ("CFTC" or "Commission") published a Concept Release on Risk Controls and System Safeguards for Automated Trading Environments ("Concept Release" or "Release").
United States
7 Oct 2013
16
SEC Proposes Rules For Cross-Border Security-Based Swap Activities
: The SEC voted unanimously today to propose rules and interpretive guidance for parties to cross-border security-based swap transactions, which will govern the regulatory requirements that apply when a security-based swap transaction occurs in part within and in part outside the United States.
United States
2 May 2013
17
SEC And CFTC Issue Identity Theft Red Flags Rules
On April 10, 2013, the Securities and Exchange Commission and the Commodity Futures Trading Commission jointly issued final rules and guidelines.
United States
26 Apr 2013
18
Regulators Issue Final Rules And Interpretations Further Defining Swap-Related Terms - Part I
After much anticipation, the Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) (together, the Commissions) on July 10 adopted joint final rules and interpretations further defining the terms "swap," "security-based swap," "security-based swap agreement" (SBSA), and "mixed swap" pursuant to Title VII of the Dodd-Frank Act (DFA).
United States
17 Aug 2012
19
Regulators Issue Final Rules And Interpretations Further Defining Swap-Related Terms - Part II
After much anticipation, the Commodity Futures Trading Commission and the Securities and Exchange Commission have adopted joint final rules and interpretations further defining the terms "swap," "security-based swap," "security-based swap agreement", and "mixed swap" pursuant to Title VII of the Dodd-Frank Act (DFA).
United States
17 Aug 2012
20
The SEC And CFTC Issue Joint Rules Further Defining Swap Dealers And Major Swap Participants
The Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) (jointly, the Commissions), in consultation with the Board of Governors of the Federal Reserve System (Federal Reserve), have issued Final Rules (Final Rules) and interpretive guidance (Guidance or Release) on the further definition of the terms "swap dealer" (SD), "security-based swap dealer" (SSD), "major swap participant" (MSP), "major security-based swap participant" (MSSP) (MSP and MSSP jointly,
United States
14 May 2012
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