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The Financial Industry Regulatory Authority (FINRA) released a comprehensive update on its insights into its member firms’ involvement in...
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On July 3, the Financial Crimes Enforcement Network (FinCEN) published a proposed rule (the Proposal) to strengthen and modernize...
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As background, the SEC adopted amendments to Rule 15b9-1 of the Securities Exchange Act of 1934 (SEA Rule 15b9-1) that require a...
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On February 6, 2024, the Securities and Exchange Commission (SEC) adopted two new rules that expand who may be considered a dealer or a...
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FINRA filed a rule amendment with the SEC on January 2 to propose amending FINRA Rule 3240, Borrowing From or Lending to Customers...
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On October 16, the Securities and Exchange Commission's (SEC) Division of Examinations (Division) published its examination priorities...
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On August 23, 2023, the Securities and Exchange Commission (SEC) adopted amendments to SEC Rule 15b9-1 that effectively will require...
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After seven years of extending the implementation date of the original rulemaking adopted in 2016 for Covered Agency Transactions, the...
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A recent DC Circuit Court of Appeals challenge to a FINRA enforcement action brings into question whether FINRA should be held...
FINRA recently filed a proposed rule change with the SEC to yet again delay the implementation date to October 25, 2023, for amendments...
Judging from this framing by the Financial Times, an obscure debate over bond liquidity may prompt regulatory scrutiny. Corporate bond...
On February 15, the Securities and Exchange Commission (SEC) adopted rule changes to shorten the standard settlement cycle for most...
In Regulatory Notice 22-17, FINRA is soliciting comment on a proposal to amend Rule 6730 to reduce the Trade Reporting and Compliance...
On July 27, 2022, FINRA filed a proposed rule change with the SEC to make it easier for brokers to work from home. The proposed rule will...