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FINRA notified members that it will assess $8,935,500 to fund the annual budget of the Governmental Accounting Standards Board ("GASB").

FIA PTG Encourages CFTC To Approve ICE Futures' Pre-Hedging Proposal

The Federal Reserve Board, with the approval of Treasury, extended the expiration date, from December 31, 2020 to March 31, 2021.

SEC Associate Director of Enforcement Stephen L. Cohen will be leaving the agency at the end of the month.

A subsidiary of the Industrial and Commercial Bank of China Limited agreed to settle SEC charges of lending "pre-released" American Depositary Receipts ("ADRs").

The SEC published in the Federal Register a final rule designed to "modernize, simplify, and enhance" Regulation S-K financial disclosure requirements.

The SEC rule mandating that the appointment or removal of a Public Company Accounting Oversight Board ("PCAOB") hearing officer be subject to agency approval was published in the Federal Register.

An SEC proposal to establish a process for registered security-based swap ("SBS") dealers and major SBS participants applying for relief from the prohibition ...

Comments must be submitted by March 15, 2019.

The SEC proposal allowing issuers to communicate with potential investors to determine whether such investors ...

The SEC proposal modifying the offering process for business development companies ("BDCs") and other closed-end investment companies under the Securities Act 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...