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On March 18, 2015, ESMA published a report reviewing how national regulators across the EU have implemented its guidelines on automated trading.

On October 22, 2015, the European Securities and Markets Authority published, as part of the preparations for the revised Transparency Directive entering into force on November 26, 2015.

On January 18, 2016, the ESRB published a report on the systemic risk implications of CCP interoperability arrangements which are governed by EMIR.

On March 11, 2016, Commission Implementing Regulation on implementing technical standards on the precise format of insider lists under the EU Market Abuse Regulation was published in the Official Journal of the European Union.

Speaking today at a Practising Law Institute session, Keith Higgins, Director of the Division of Corporation Finance of the SEC, Higgins addressed a number of interesting topics.

FINRA created a new Securities Industry Essentials ("SIE") examination and revised several of its representative-level qualification examinations.

I recently discussed on this page how the 2020 corporate annual meeting season was facing its own challenges in the midst of the global pandemic ...

In a proclamation, Russell Wiegel, Commissioner of the Florida Office of Financial Regulation (OFR) has suspended filing requirements for branch office locations of securities broker-dealers,...

IOSCO urged issuers of securities to make "timely and high quality" disclosures, that are entity-specific, about the impact of COVID-19.

It is the time of year for a large number of companies to prepare their annual reports on Form 20-F. For companies with a calendar year-end, the Form 20-F must be filed with the SEC by 2 May 2017.

The U.S. Commodity Futures Trading Commission is undergoing a transformation with the new Trump administration while staying on course with its statutory mission of protecting US commodities and derivatives markets

The SEC recently adopted a final ETF rule, largely in the form proposed in June of 2018, but with several important changes in response to industry comments.

SEC Announces Extensions To Reporting Deadlines For Public Companies Affected By The Coronavirus (COVID-19).

If a company's Form 10-K report for a fiscal year ended December 31 incorporates Part III disclosure by reference from the company's definitive proxy statement...

Holland & Knight Partners Scott Mascianica and Chauncey Lane joined Woodruff Sawyer Senior Vice President Yelena Dunaevsky on the SPAC Notebook podcast for a deep dive into the state...

"At the beginning of this year, the space transportation start-up Momentus thought it would be well on its way towards its stated mission of 'revolutionizing space infrastructure and the space economy

On December 30, 2021, the Administrative Judge for the civil branch of the New York Supreme Court, New York County, issued an administrative order concerning actions filed in New York County...

He is the Vice Chair of Institutional Securities at Morgan Stanley.