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Searching Content indexed under Corporate/Commercial Law by Bruce Newman 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
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
4
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
5
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
6
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
7
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
8
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
9
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
10
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
11
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
12
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
13
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
14
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
15
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
16
SEC Staff Issues First Set Of FAQs On Rule 15c3-5, Risk Management Controls For Brokers Or Dealers With Market Access
On April 15, 2014, the Staff of the SEC’s Division of Trading and Markets issued its first set of frequently asked questions (FAQs) regarding Rule 15c3-5 under the Securities Exchange Act of 1934.
United States
23 Apr 2014
17
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
18
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
19
SEC Staff Issues FAQs On The Liability Of Compliance And Legal Personnel At Broker-Dealers
On September 30, 2013, the staff of the Securities and Exchange Commission's Division of Trading and Markets issued a new set of frequently asked questions regarding the liability of compliance and legal personnel at broker-dealers under Sections 15(b)(4) and 15(b)(6) of the Securities Exchange Act of 1934.
United States
9 Oct 2013
20
FINRA Proposes Consolidated Supervision Rules; Comments Due July 29
FINRA has filed with the SEC a proposal to adopt consolidated FINRA supervision rules.
United States
17 Jul 2013
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