The SEC has proposed amendments to Rule 35d-1 under the Investment Company Act of 1940 (the "names rule"). The names rule currently...
The London Metal Exchange has announced a consultation with members on a proposal to require reporting of all “OTC positions” in certain...
On May 23, the CME is implementing new functionality under its block trade rule permitting dealers to trade “derived blocks” in certain...
FINRA recently issued Regulatory Notice 22-08, which Reminds Members of Their Sales Practice Obligations for Complex Products and Options...