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Searching Content indexed under Compliance by Bruce Newman ordered by Published Date Descending.
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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
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
3
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
4
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
5
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
6
SEC Proposes Rules for Cross-Border Security-Based Swap Activities
The Securities and Exchange Commission ("SEC" or "Commission") voted unanimously today to propose rules and interpretive guidance for the application of its regulations under Title VII of the Dodd-Frank Act to cross-border security-based swaps ("SBS").
United States
7 May 2013
7
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
8
FINRA Now Authorized To Seek SARs Materials From Member Broker-Dealers
In December, 2010, the U.S. Treasury Department's Financial Crimes Enforcement Network (FinCEN) issued a final rule (Final Rule), effective January 3, 2011, amending the Bank Secrecy Act (BSA) regulations relating to disclosure of suspicious activity reports (SARs) by financial institutions and governmental authorities.
United States
28 Feb 2012
9
New FINRA Books And Records Rules
The Financial Industry Regulatory Authority ("FINRA") has announced newly approved books and records rules (Rules 2268, 4511, 4512, 4513, 4514, 4515, 5340 and 7440(a)(4)) that will go into effect on December 5, 2011.
United States
24 May 2011
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