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An SEC and CFTC joint request for comments on possible methods for implementing the portfolio margining of SEC- and CFTC-regulated products was published in the Federal Register.

In a new study, the Depository Trust & Clearing Corporation ("DTCC") concluded that a distributed ledger platform has the capacity to support average daily trading volumes ...

As part of organizational restructuring, the CFTC moved the Surveillance Branch of the Division of Market Oversight ("DMO") to the Division of Enforcement ("DOE").

The SEC extended the comment period from May 8, 2017 until July 7, 2017 on the disclosures required by Industry Guide 3 ("Statistical Disclosure by Bank Holding Companies").

The SEC's proposal to "simplify and streamline" the financial disclosure requirements under Regulation S-X ...

The economists also found that greater availability of information led to a reduction in the bid-offer spread.

The Federal Reserve Board ("FRB") finalized the process of transferring its rulemaking authority for the Secure and Fair Enforcement for Mortgage Licensing Act ...

FinCEN named Thomas Ott the new Associate Director of the Enforcement Division. Mr. Ott will oversee FinCEN's Bank Secrecy Act compliance and enforcement program.

In its November disciplinary report, FINRA recapped actions against member firms and individuals for violations of FINRA rules, MSRB rules, and federal securities laws and rules.

In its October disciplinary report, FINRA recapped actions against member firms and individuals for violations of FINRA rules,

In a Regulatory Notice, FINRA reminded firms that after April 12, 2019, alternative trading systems ("ATSs") and broker-dealers that subscribe to ATSs will be required to report to TRACE.

The FRB is required to provide notice of aggregate global indicator amounts under its rule on risk-based capital surcharges for GSIBs.

GPs' fund structuring choices are increasingly guided by needs that have become more pronounced year after year: internationalization of their LP base, opening up to individuals, liquidity requirements...

Is your company evaluating whether—and where—to go public? An initial public offering is a major milestone, and choosing the right listing exchange for your company requires a holistic view of regulatory requirements, market expectations, and strategic considerations across jurisdictions.

In a recent edition of its Entrepreneurship Policy Digest, the Kauffman Foundation provides interesting data on the types of funding relied upon by emerging companies.

In April, the Securities and Exchange Commission (SEC) adopted its final business conduct rules for security-based swap dealers. The Commodity Futures Trading Commission (CFTC) adopted parallel rules for swap dealers in 2012.

A bill was introduced recently in the House of Representatives, which proposes to amend the Securities Exchange Act of 1934 to require the Securities and Exchange Commission to allow publicly traded companies with a certain sized public float to change their stocks' tick sizes to increase liquidity by incentivizing capital commitment, research coverage, and brokerage support, thereby increasing the stocks' liquidity and investor interest, and for other purposes.