The revisions became effective on December 26, 2018.

The SEC adopted revisions to the Electronic Data Gathering, Analysis and Retrieval System ("EDGAR") Filer Manual and the associated rule under Reg. S-T.

The Congressional appropriations bill signed into law on March 23, 2018 includes provisions that amend rules applicable to business development companies ("BDCs").

A former general securities representative ("GSR") settled FINRA charges for failing to notify his company that he created an external cryptocurrency-mining business.

To settle the charges, Canaccord Genuity LLC agreed (i) to a censure and (ii) to pay a civil money penalty in the amount of $250,000.

The Business Conduct Committee ("BCC") of the Chicago Board of Trade ("CBOT") banned a trader violating rules prohibiting wash trades and committing other trade-related offenses.

Citigroup Global Markets, Inc. ("CGMI") agreed to pay $18.3 million to settle SEC charges that the dually registered investment adviser and broker-dealer had overcharged...

The SEC published in the Federal Register a proposal.

An SEC proposal to expand the electronic filing requirements under the EDGAR system was published in the Federal Register.

The comment deadline for the proposal is June 7, 2021.

What happens if you have a tech company in the middle market approach you for advice about selling their business, which was started in a backyard? They have a small staff in one location and...

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.

CFPB finalizes LIBOR transition rule. SEC issues statement on LIBOR transition - key considerations. FinCEN issues hotly anticipated beneficial ownership reporting requirements.

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 ...

An SEC final rule that requires individuals in administrative proceedings to file and serve documents electronically was published in the Federal Register.

SEC amendments to the procedural requirements and resubmission thresholds of Exchange Act Rule 14a-8 ("Shareholder Proposals") were published in the Federal Register.

An SEC final rule to enable the use of electronic signatures in documents requiring signature authentication was published in the Federal Register.

CFTC amendments to rules concerning chief compliance officer ("CCO") duties and certain annual report requirements were published in the Federal Register.

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 requested comments on a FINRA proposal to amend FINRA Rule 12504 of the Code of Arbitration Procedure for Customer Disputes...