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The Securities and Exchange Commission (the SEC or the Commission) recently released its Spring 2025 Unified Agenda of Regulatory and...
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The UK Financial Conduct Authority (FCA) has recently published the findings of its latest multi-firm review (the Review), assessing ten...
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In 2024, the United States Securities and Exchange Commission (SEC) adopted “EDGAR Next,” which involved amendments intended to provide...
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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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On October 13, 2023, the SEC adopted Rule 13f-2 which will require institutional investment managers (“Institutional Managers”) to report...
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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...
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...