This article first appeared in Compliance Reporter.
The Securities and Exchange Commission is slowly finalizing its rules under Title VII of the Dodd-Frank Act for the registration and re...
Following is Davis Polk’s client memorandum on the FDIC’s and the SEC’s proposed rule to implement the provisions applicable to covered broker-dealers under Title II of the Dodd-Fra...
The Securities and Exchange Commission recently proposed amendments to Regulation ATS and related rules under the Securities Exchange Act of 1934 to impose extensive new transparency requ...
FINRA recently adopted amendments to its equity research rules and an entirely new debt research rule. Among other things, the new equity rule permits firms to adopt shorter minimum resea...
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compliancereporter.com, Vol. XXII, No. 10, May 18, 2015
Broker/dealers are frequently asked to make payments to finders, service providers and other intermediaries in connection with securities transactions or services. Effective Aug. 24, 2015...
The Financial Industry Regulatory Authority recently issued two Regulatory Notices concerning algorithmic trading as part of a larger package of market structure initiatives. The first R...
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...
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 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...
