FINRA Proposes to Reduce TRACE Reporting Time from 15 Minutes to 1 Minute
In Regulatory Notice 22-17, FINRA is soliciting comment on a proposal to amend Rule 6730 to reduce the Trade Reporting and Compliance...
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FINRA's New Rule Proposal Eases the Ability for Brokers to Work From Home
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...
SEC Proposes New ESG Disclosure Requirements for Regulated Funds and Investment Advisers
On May 25, the Securities and Exchange Commission (“SEC”) proposed additional disclosure requirements for funds that utilize...
SEC Proposes Changes to Investment Company Act 'Names Rule'
The SEC has proposed amendments to Rule 35d-1 under the Investment Company Act of 1940 (the "names rule").
The names rule currently...
CME Derived Blocks - a new way to price block trades on certain CME and CBOT Security Index Futures
On May 23, the CME is implementing new functionality under its block trade rule permitting dealers to trade “derived blocks” in certain...
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