11,473 results found

The SEC proposal to establish "risk mitigation" requirements applicable to security-based swap dealers, including portfolio reconciliation, and compression and swap trading relationship documentation, was published in the Federal Register.

SEC-proposed amendments and interpretive guidance to certain rules governing security-based swap activity in a cross-border context ...

The SEC concept release reviewing the framework for exempt offerings was published in the Federal Register.

FINRA and the national securities exchanges (the "SROs") provided guidance on upcoming clock synchronization requirements pursuant to the National Market System Plan Governing the Consolidated Audit Trail ("CAT NMS Plan").

FINRA And ISG Extend Effective Date For Large Trader Reporting Data Elements.

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...

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."

The NFA announced results of the elections for Board of Directors and the 2017 Nominating Committee.