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Searching Content indexed under Financial Services by Bruce Newman ordered by Published Date Descending.
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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 OpportunitiesóCapital 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
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
6
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
7
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
8
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
9
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
10
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
11
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
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