21,181 results found

ESMA published final technical advice on December 19 to the European Commission, and a consultation paper on the MiFID II Directive and the Markets in Financial Instruments Regulation.

On September 23, the SEC amended interim final temporary Rule 15Ba2-6T, which provides for the temporary registration of municipal advisors under the Exchange Act, as amended by the Dodd-Frank Act, extending the date on which Rule 15Ba2-6T will sunset from September 30, 2013, to December 31, 2014

The FINRA proposal to eliminate certain requirements applicable to research reports on "covered investment funds," in accordance with the Fair Access to Investment Research Act of 2017

On May 8, 2015, the Federal Reserve Bank of New York announced the creation of a new group called the Wholesale Product Office.

FINRA proposed extending until October 20, 2021 a pilot program that governs the review of "clearly erroneous transactions" in exchange-listed securities under FINRA Rule 11892.

FINRA proposed extending a pilot program that governs the review of "clearly erroneous transactions" in exchange-listed securities under FINRA Rule 11892.

FINRA issued a proposal to permit alternative trading systems ("ATSs") and broker-dealer subscribers to ATSs to report transactions in U.S. Treasuries executed on ATSs on a "partially disaggregated" basis until April 12, 2019.

The summary includes complaints initiated by FINRA that have not yet been resolved.

The summary includes complaints initiated by FINRA that have not yet been resolved.

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

The summary includes complaints initiated by FINRA that have not yet been resolved.

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

The International Organization of Securities Commissions has issued two significant final reports addressing pre-hedging practices and financial asset tokenization, both carrying major implications for US and global derivatives regulation. These principles-based guidance documents may reshape how the Commodity Futures Trading Commission approaches market-conduct standards while balancing technological innovation. The reports explore frameworks for managing conduct risks in pre-hedging activities and assess

Companies considering an initial public offering face complex regulatory requirements and market considerations across different global exchanges. This comprehensive guide examines the key requirements and strategic factors for listing securities on premier stock exchanges from New York to Hong Kong, providing essential insights for navigating the IPO process.

Today, the Staff of the SEC published another study required by the JOBS Act.

On January 22, Judge Denise Cote of the U.S. District Court for the Southern District of New York trimmed claims from a lawsuit brought by the National Credit Union Administration Board.

In a recent speech, Federal Housing Finance Agency (FHFA) director Melvin Watt discussed key FHFA initiatives for 2016.