21,175 results found

Effective October 2, 2017, the delay period applicable to Historic Trade Reporting and Compliance Engine ("TRACE") Data for corporate bonds and agency debt will be reduced from 18 months to six months.

FINRA named Gregory J. Dean, Jr. Senior Vice President for the Office of Government Affairs. Mr. Dean had been serving as Senior Director, Regulatory & Government Affairs...

The new rate will go into effect on May 22, 2018.

FINRA outlined equity trade reporting changes necessitated by the shortening of the settlement cycle from three business days to two business days ("T+2").

FINRA is updating the Regulatory Extension (REX) system to enable firms to file extensions of time requests under the new T+2 settlement cycle.

In a recent report, the GAO recommended the establishment of a formal entity to facilitate coordination and compliance with Dodd-Frank Act Section 961 across agency divisions and offices.

The SEC Division of Corporation Finance granted an exemption from Exchange Act Rule 14e-1(a) ("Unlawful Tender Offer Practices") to HCL Technologies Limited, a public limited company incorporated under the laws of India.

An investment firm was fined $2.9 billion by several domestic and foreign authorities, including the Federal Reserve Board, the DOJ, the SEC, the Financial Conduct Authority and the Bank...

Hubert de Vauplane was interviewed by in the November-December issue of the magazine published by the French legal publication Lettre des Juristes d'Affaires on the irresistible growth of crowdfunding.

On 23 April, 2014, the SEC announced that Mauri L. Osheroff is retiring on 30 April after nearly 40 years at the SEC.

The SEC Division of Investment Management granted no-action relief to permit certain investment advisory entities created by a merger to continue to rely on pre-merger exemptive orders.

The MSRB outlined the various methods available to regulated entities, issuers, attorneys, investors ...

The MSRB solicited applications to fill vacancies on its Board of Directors. Applications will be accepted through February 17, 2017.

The North American Securities Administrators Association ("NASAA") warned investors of the risks associated with "robo-advisers."

Acting Securities and Exchange Commissioner Allison Herren Lee on February 1 announced Satyam Khanna will serve as the agency's Senior Policy Advisor

Matthew R. Kittay was featured in the Forbes article, "New Crowdfunding Rules Could Do More Harm Than Good For Some Startups."

The New York Stock Exchange ("NYSE") has increased the annual fee for an issuer's shares listed on the NYSE to the greater of $52,500 or $0.001025 per share, from the current fee rate (the greater of $45,000 or $0.001 per share).

On September 13, 2022 the Securities and Exchange Commission filed litigation against four separate municipal securities underwriters for failing to comply with municipal bond offering disclosure requirements.