21,177 results found

FINRA proposed changing Rule 7730 (Trade Reporting and Compliance Engine ("TRACE")) to reduce the delay period for its transaction-level data set offering from 18 months to 6 months.

FINRA proposed the implementation of "an anonymous, grouped masking methodology" in order to address confidentiality concerns regarding the publication of over-the-counter ("OTC") trading activity...

As a part of its retrospective review process, FINRA requested comments on Rules 3270 ("Outside Business Activities of Registered Persons") and 3280 ("Private Securities Transactions...

FINRA proposed a rule change to amend FINRA Rule 6433 ("Minimum Quotation Size Requirements for OTC Equity Securities") to extend the Tier Size Pilot Program for OTC equity securities until June 9, 2017.

FINRA's Member Regulation Department will be conducting a review with respect to products linked to the Chicago Board Options Exchange Volatility Index ("VIX").

FINRA advised firms using third-party recordkeeping service providers ("providers") to ensure that contracts comply with recent guidance issued by the SEC Division of Trading and Markets staff.

On January 30, 2009, the United States Securities and Exchange Commission (SEC) adopted rules requiring foreign private issuers preparing their financial statements using International Financial Reporting Standards (IFRS),

Senator Ben Cardin (D-MD) swore in Gary Gensler as Chair of the SEC. Chair Gensler was nominated by President Joe Biden on February 3, 2021, and was confirmed by the Senate on April 14, 2021.

Goldman Sachs and FHFA announced a US$3.15 billion settlement of claims brought by FHFA against Goldman in two separate lawsuits related to RMBS.

This newsletter provides a snapshot of the principal U.S. and selected international governance and securities law developments during the fourth quarter of 2017 that may be of interest to Latin American...

Judge Sam Sparks of the United States District Court granted judgment to defendants in two related cases filed by the FDIC on behalf Guaranty Bank.

In an unprecedented one-day blitz, the Chair of the Securities and Exchange Commission was joined by the SEC Enforcement Director in events in Silicon Valley and San Francisco on March 31 focused on one message...

As a reminder, the SEC will be closed, and the EDGAR system will not accept filings, on Monday, October 14. U.S. stock exchanges will be open for trading on Monday.

The new SEC "bad actor" provisions of Rule 506(d) become effective on September 23, 2013. Investment banks, which monitor FINRA compliance by their professionals, must ensure that their compliance systems capture all the potentially new requirements of Rule 506(d).

The new SEC "bad actor" provisions of Rule 506(d) become effective on September 23, 2013.

This article discusses the SEC's proposed rule requiring companies to provide human capital management disclosure and shares insights for helping public companies and their counsel to approach this area of disclosure.

The Investment Company Institute ("ICI") Board of Governors elected William F. "Ted" Truscott to serve as ICI Chair for a one-year term.