Our client alert discusses the two important upcoming SEC rulemakings concerning the regulation of security-based swaps.
Our client alert discusses the two important upcoming SEC rulemakings concerning the regulation of security-based swaps.
Our client alert discusses the SEC Division of Examinations list of priorities for 2023, which provides a roadmap for firms to better understand where the Division will take its examination efforts over the coming months.
Our client alert discuss the recent SEC amendments to Exchange Act Rule 17a-4 adopting new recordkeeping requirements for broker-dealers. Most notably, the SEC will no longer require broker-dealers to maintain records in “write once, read many” or “WORM” format. Instead, broker-dealers have the option of utilizing a new “audit trail” alternative…
Our client alert discuss recent SEC rulemakings covering proposed new “Regulation Best Execution” (new Exchange Act Rules 1100, 1101, and 1102 establishing a best execution standard and requiring robust policies and procedures for firms engaging in certain conflicted transactions with retail customers); a proposed new “Order Competition Rule” (new Exchange Act Rule 616,…
Our recent client alert discusses the SEC’s Fall 2022 “Reg Flex” agenda, which provides a glimpse into how the agency will prioritize its resources over the coming six months from a policy and rulemaking standpoint.
Our recent client alert discusses the new broker-dealer recordkeeping requirements for broker-dealers.
Our recent client alert addresses the new SEC “Marketing Rule” for investment advisers and the effect on private fund placement agents. The compliance date is November 4, 2022.
FINRA recently proposed amendments to FINRA Rule 3110 (Supervision) to adopt a voluntary, three-year pilot program (Pilot Program) to allow member firms to conduct remote branch office inspections. In a nod to where things have headed since the onset of the Covid-19 pandemic (WFH and such), providing firms with the…
Back in April 2022, we wrote about the SEC killing the Dealer/Trader distinction. We also noted then that it would come as no surprise to see the SEC re-propose amendments to Exchange Act Rule 15b9-1. Just a few months later, the SEC has done just that. Rule 15b9-1 currently exempts…
Our recent client alert discusses whether the SEC’s proposals to expand the “exchange” and “dealer” definitions are part of the agency’s crypto and defi strategy.