On December 16, 2014, the President signed into law an amendment to Section 716 of the Dodd-Frank Act (known as the “Swaps Pushout Rule” or the “Lincoln Amendment”) as part of a $...
The Financial Industry Regulatory Authority recently filed with the Securities and Exchange Commission a proposal to consolidate and amend FINRA’s current equity research rules and a se...
On November 19, 2014, the Securities and Exchange Commission unanimously voted to adopt Regulation Systems Compliance and Integrity (“Regulation SCI”), a set of rules designed to stre...
In this Report:
In the past month, no rulemaking requirement deadlines passed, one rulemaking requirement was finalized and no rulemaking requirements were proposed.
As of December 1,...
In this Report:
In the past month, no rulemaking requirement deadlines passed, ten rulemaking requirements were finalized, and one rule was proposed that would meet one rulemaking requ...
The Financial Industry Regulatory Authority recently unveiled a detailed proposal to implement its controversial Comprehensive Automated Risk Data System initiative. If adopted, CARDS wou...
On September 17, 2014, the CFTC re-proposed rules for uncleared swap margin requirements. The CFTC’s re-proposal is largely consistent with a re-proposal
on margin, capital and segrega...
On September 25, 2014, the Financial Industry Regulatory Authority filed a proposed rule change with the Securities and Exchange Commission to modify existing rules that govern FINRA memb...
In this Report:
In the past month, no rulemaking requirement deadlines passed or were met with finalized rules, and no new rules were proposed that would meet rulemaking requirements.
...
On September 19, 2014, the Financial Industry Regulatory Authority announced that its Board of Governors approved a series of regulatory initiatives primarily focused on equity and fixed ...
