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US Broker-Dealer and Market Regulation Library

US Broker-Dealer and Market Regulation Library

We have prepared the following publications on broker-dealer and market regulation. If you wish to review any of these items, they are available by clicking on the relevant title below. To jump to a specific section, click on the section title. These publications are only intended to be a general discussion of the topics covered and should not be construed as legal advice. We would be pleased to provide additional details or advice about specific situations. 

Advertising
Alternative Trading Systems (ATS)
Anti-Money Laundering (AML)
Bank Regulation
Books and Records

Branch Office
Broker/Dealer Registration and
   Formation

Capital Regulation
Commodities and Futures

Communication with the Public
Compensation Practices
Conflicts of Interest
Corporate Finance Rules
Customer Identification
Dodd-Frank Act
Form D
Front Running
Fund Distribution
Gifts and Gratuities
Information Barrier and Control
International Banking
International Sanctions
Investment Banking Compliance

 

 

IPO Allocation
Jobs Act
Know Your Customer (KYC)
Large Trader Reporting
Licensing
Living Wills
New Issue Rule
Outsourcing
Papilsky
Privacy
Private Funds
Private Placements
Record Keeping
Regulation D
Regulation M
Regulatory Capital
Research
Resolution Authority
Rule 15a-6
Short Selling
Supervision
Trading
Volcker Rule

 

Advertising

1 Nov 2003

New Rules Regarding Communications With the Public by Brokers and Dealers Take Effect

 

Alternative Trading Systems (ATS)

 

14 Mar 2014

Trade Reporting: SEC Approves FINRA Rule Requiring Alternative Trading Systems to Report Activity Weekly

 

Anti-Money Laundering (AML)

 

8 Sep 2015 Financial Crimes Enforcement Network: Anti-Money Laundering Program and Suspicious Activity Report Filing Requirements for Registered Investment Advisers

10 Sep 2014

FinCEN Proposes New Rule Requiring Identification of Beneficial Owners

7 Jan 2014

Sanctions Round-Up: Fourth Quarter 2013

4 Nov 2013

Iran Notices Update: SEC-Registered Issuers Continue to Adapt to Their New Normal

8 Oct 2013

Sanctions Round-Up: Third Quarter 2013
12 Jul 2013 Sanctions Round-Up: Second Quarter 2013

20 Mar 2013

What’s Going On – Over a Month of Section 219 Disclosures Under the Iran Threat Reduction and Syria Human Rights Act of 2012

 

29 Mar 2012

More Diligent Customer Due Diligence: FinCEN and Beneficial Ownership

 

1 Sep 2010

New US Economic Sanctions Create Risks for Non US Financial Institutions

 

1 Feb 2006

Anti-Money Laundering Regulations for Broker-Dealers: Treasury Department Publishes Final Rules Implementing Section 312 of the Patriot Act Relating to Foreign Correspondent Accounts and Private Banking Accounts

 

1 Oct 2003

New Customer Identification Procedure Rules for Brokers and Dealers Take Effect

 

Bank Regulation


Bank Regulatory Library

5 Dec 2014

Basel III Framework: The Net Stable Funding Ratio

12 Mar 2014

Dodd-Frank: Enhanced Supervision Becomes Final

28 Feb 2013

UK FSA and US FDIC Concerned Over Effects of National Depositor Preference Regimes

 

 

5 Feb 2014

Basel III Framework: The Leverage Ratio

18 Dec 2012

Dodd-Frank: The Fed’s Proposal for Enhanced Supervision of Foreign Banks

 

24 May 2012

The Fed Approves China

 

24 Apr 2012

Dodd-Frank’s Volcker Rule: The Federal Reserve Clarifies the Deadline for Compliance but It’s Not a Ticket to Ride

 

27 Oct 2011

In the Eye of the Beholder: The Volcker Rule Proposal and What It Means

 

22 Jul 2011

Dodd-Frank: The GAO Struggles with the Volcker Rule

 

15 Jul 2011

Dodd-Frank: Regulation Q Goes the Way of the Model T

 

30 Mar 2011

The New Basel III Framework: Implications for Banking Organizations

 

30 Mar 2011

Greetings! We’re from the Fed and We’re Here to Supervise You

 

24 Jan 2011

FSOC Study on Implementing the Volcker Rule — A Series of Missed Opportunities and Some Surprises

 

26 Oct 2010

Mortgage Lending Practice after the Dodd-Frank Act

 

19 Oct 2010

Financial Regulatory Reform Update: The Volcker Rule Continues to Garner Outsized Attention in the Wake of Passage of Financial Reform Legislation

 

Jul 2010

Landmark Financial Regulatory Reform Legislation Passed By U.S. Congress

 

8 Jun 2010

Financial Regulatory Reform Update: The Volcker Rule Looms Large Over Asset Management and Fund Investment Activities of Financial Institutions

 

23 Jun 2009

U.S. Financial Regulatory Reform – Implications for Banking Institutions

 

25 Mar 2009

Public-Private Investment Program: Cleansing Bank Balance Sheets

 

Books and Records

 

20 Apr 2003

SEC Amendments to Books and Records and Records Requirements to Brokers and Dealers Under the Securities Exchange Act of 1934 Take Effect –Accommodations made for State and SRO Regulation and Enforcement-

 

Branch Office

 

19 Apr 2006

NASD Extends the Effective Date of the Uniform Branch Office Definition for Broker-Dealers, and Issues Joint Guidance on Branch Office Issues

 

1 Dec 2005

SEC Approves NASD and NYSE Uniform Branch Office Definition for Broker-Dealers

 

1 Oct 2005

SEC Approves NASD and NYSE Uniform Branch Office Definition for Broker-Dealers

 

Broker/Dealer Registration and Formation

 

15 Oct 2014

SEC Requests Comment on Proposed FINRA Rules Regarding Payment to Unregistered Persons

21 Feb 2014

SEC Offers Relief to M&A Brokers

11 Apr 2013

SEC Lawyer Speaks to Broker-Dealer Registration Status of Private Fund Managers

 

25 Mar 2013

SEC Releases Responses to Frequently Asked Questions Regarding Rule 15a-6 and Foreign Broker-Dealers

 

18 Mar 2013

SEC Charges Asset Manager for Finder’s Broker-Dealer Registration Failure

 

Apr 2012

JOBS Act Creates Two New Exemptions from Broker-Dealer Registration

 

11 Oct 2011

Preparing for FINRA Operations Professional Registration

 

9 Jul 2008

SEC Proposes Amendments to the Exemptions Available to Certain Non-U.S. Broker-Dealers under Rule 15a-6

 

19 Apr 2006

NASD Extends the Effective Date of the Uniform Branch Office Definition for Broker-Dealers, and Issues Joint Guidance on Branch Office Issues

 

1 Jan 2006

NASD extends deadline for CEO Certification under Rule 3013, and requires firms that rely on the “limited size and resources” exception to notify NASD

 

1 Aug 2004

Selected Issues Regarding the Formation and Registration of United States Broker-Dealers

 

Capital Regulation

 

12 Mar 2014

Dodd-Frank: Enhanced Supervision Becomes Final

5 Feb 2014

Basel III Framework: The Leverage Ratio

17 Sept 2013

 

Basel III Framework: US/EU Comparison

19 Aug 2013 

 

SEC Adopts Changes to Broker-Dealer Net Capital and Financial Responsibility Rules

4 Feb 2010

FINRA Adopts Changes to Financial Responsibility Rules for Carrying or Clearing Members; Creates Additional Obligations for Members Exempt Under Rule 15c3-3(k)(2)(i)

 

Commodities and Futures

 

13 Aug 2015 SEC Moves Closer to Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants

19 Dec 2012

CFTC Defers Compliance Dates for Business Conduct and Documentation Requirements until Mid-2013

 

6 Feb 2012

CFTC Adopts Registration Rules and External Business Conduct Standards for Swap Dealers and Major Swap Participants

 

1 Feb 2012

CFTC Adopts Final Rules on Protection of Cleared Swaps Customer Collateral

 

Communication with the Public

 

1 Nov 2003

New Rules Regarding Communications With the Public by Brokers and Dealers Take Effect

 

Compensation Practices

 

31 Jul 2015

FINRA Requests Comment on Proposed Rule Requiring Delivery of FINRA Disclosure Document to Customers of Transferring Representatives

16 Jan 2013

FINRA Proposes Disclosure of Recruitment Practices

 

6 Apr 2011

Financial Regulatory Agencies Issue Joint Proposed Rules on Compensation

 

1 Jun 2003

Amendments to the Non-Cash Compensation Provisions of NASD Rule 2710 and Rule 2810

 

 

Conflicts of Interest

 

13 Feb 2014

FINRA Proposes Amendment to Corporate Financing Rule and Conflict of Interest Rule

23 Jun 2009

SEC Approves FINRA Amendments to Conflict of Interest Rules for Securities Offerings

 

4 Dec 2007

FINRA regulation of corporate financing: FINRA amends rule change proposals to NASD Corporate Financing Rule 2710 and Conflict of Interest Rule 2720

 

4 Oct 2006

NASD Proposes Major Changes to Rule 2720 Governing Conflicts of Interest Between Underwriters and Issuers

 

Corporate Finance Rules

 

13 Feb 2014

FINRA Proposes Amendment to Corporate Financing Rule and Conflict of Interest Rule

Jun 2012

FINRA Proposes Important Changes to Corporate Financing Rule to Permit the Receipt of Tail Fees and Rights of First Refusal; Separately Files to Implement an Increase in Corporate Finance Filing Fees

 

19 Aug 2010

FINRA Adopts Rule 5141 (Sale of Securities in a Fixed Price Offering) to Replace the “Papilsky” Rules

 

8 Mar 2010

FINRA Corporate Financing Department Introduces Same-Day Clearance for Non-Exempt Shelf Offerings of Securities

 

23 Jun 2009

SEC Approves FINRA Amendments to Conflict of Interest Rules for Securities Offerings

 

4 Dec 2007

FINRA regulation of corporate financing: FINRA amends rule change proposals to NASD Corporate Financing Rule 2710 and Conflict of Interest Rule 2720

 

4 Oct 2006

NASD Proposes Major Changes to Rule 2720 Governing Conflicts of Interest Between Underwriters and Issuers

 

15 May 2006

NASD Revises Proposals to Amend the Corporate Financing Rules with Respect to Regulation of Shelf Offerings

 

16 Apr 2004

SEC Adopts Major Changes to NASD Corporate Financing Rule

 

1 Apr 2004

NASD Reissues Proposals to Amend the Corporate Financing Rule With Respect to Regulation of Shelf Offerings

 

15 Sep 2003

Proposed Rule Changes to NASD Conduct Rule 2710 Substantially Alter Existing Practice

 

1 Jun 2003

Amendments to the Non-Cash Compensation Provisions of NASD Rule 2710 and Rule 2810

 

Customer Identification

 

29 Mar 2012

More Diligent Customer Due Diligence: FinCEN and Beneficial Ownership

 

1 Feb 2006

Anti-Money Laundering Regulations for Broker-Dealers: Treasury Department Publishes Final Rules Implementing Section 312 of the Patriot Act Relating to Foreign Correspondent Accounts and Private Banking Accounts

 

1 Oct 2003

New Customer Identification Procedure Rules for Brokers and Dealers Take Effect

 

Dodd-Frank Act

 

12 Mar 2014

Dodd-Frank: Enhanced Supervision Becomes Final

4 Mar 2014

Recent Diversity Mandates Impacting US Financial Regulators and Financial Institutions on Both Sides of the Atlantic

26 Feb 2014

Comparison of New EU Proposals on Proprietary Trading and Ring-fencing Against US, UK, French and German Rules

2 Jan 2014

Volcker Unbound
11 Dec 2013

The Final Volcker Rule Begins to Emerge
10 Dec 2013 

The Volcker Rule: A Comparison
9 Dec 2013 Ready for the Volcker Rule? What to Look For

25 Oct 2013

Dodd-Frank: The Liquidity Proposal Is Issued

22 Aug 2013
 

Another Dodd-Frank Tax on Size: The Fed Charges for Big-Bank Supervision

7 Jun 2013 

Fed Rewrites Section 716 of Dodd-Frank

18 Dec 2012

Dodd-Frank: The Fed’s Proposal for Enhanced Supervision of Foreign Banks

 

18 Jul 2012

Cross-Border Application of the Swaps Provisions of the Dodd-Frank Act

 

24 Apr 2012

Dodd-Frank’s Volcker Rule: The Federal Reserve Clarifies the Deadline for Compliance but It’s Not a Ticket to Ride

 

19 Apr 2012

Dodd-Frank: FSOC Deals the Remaining Cards, But Still Does Not Reveal its Hand

 

25 Oct 2011

The FSOC Re-Proposal of Rules for Designating SIFIs: Something Old and Something New

 

22 Jul 2011

Dodd-Frank: The GAO Struggles with the Volcker Rule

 

15 Jul 2011

Dodd-Frank: Regulation Q Goes the Way of the Model T

 

12 Jul 2011

Dodd-Frank Act Rulemaking: SEC Finalizes Exemptions and Disclosure Requirements for Investment Advisers and Sets Compliance for Early 2012

 

30 Nov 2010

Dodd-Frank Act Rulemaking: SEC Proposes New Exemptions and Disclosure Requirements for Investment Advisers

 

July 2010

Landmark Financial Regulatory Reform Legislation Passed By U.S. Congress

 

29 Jun 2010

Private Fund Manager Registration Provisions of the Dodd-Frank Bill

 

8 Jun 2010

Financial Regulatory Reform Update: The Volcker Rule Looms Large Over Asset Management and Fund Investment Activities of Financial Institutions

 

1 Jun 2010

Private Fund Manager Registration as U.S. Financial Reform Legislation Approaches the Finish Line

 

1 Jun 2010

House-Senate Conference to Reconcile Financial Regulatory Reform Bills

 

2 Apr 2010

U.S. Senate Banking Committee Approves a Sweeping Financial Regulatory Reform Bill

 

22 Dec 2009

U.S. House of Representatives Passes Wall Street Reform Bill: A Preliminary Analysis

 

Form D

 

26 Jan 2009

Private Placement Update: Electronic Filing of Form D

 

21 Mar 2008

SEC Mandates Electronic Filing of Form D

 

Front Running

 

26 Feb 2013

Thinking Ahead: Preparing for implementation of FINRA’s new Front-Running Rule 5270

 

9 Jan 2013

FINRA Rule 5270 FAQs: Front Running of Block Transactions

 

Fund Distribution

 

11 Apr 2013

SEC Lawyer Speaks to Broker-Dealer Registration Status of Private Fund Managers

 

12 Nov 2010

European Regulation of Fund Managers: AIFM Directive Agreed and Adopted

 

Gifts and Gratuities

 

27 Mar 2008

At the Close of the Investigation that Started It All, an Update on FINRA’s Gift and Entertainment Rulemaking

 

Information Barrier and Control

 

5 Oct 2015 FINRA's New Fixed Income Research Rule and Modifications to the Equity Research Rule

5 Oct 2015 FINRA Publishes FAQs Regarding Research Conflicts of Interest in the Offering Process

9 Oct 2012

OCIE Staff Publishes Summary Report on Broker-Dealer Practices Relating to Information Barriers

 

International Banking

 

10 Apr 2013

Preferring Foreign Depositors

 

28 Feb 2013

UK FSA and US FDIC Concerned Over Effects of National Depositor Preference Regimes

 

18 Dec 2012

Dodd-Frank: The Fed’s Proposal for Enhanced Supervision of Foreign Banks

 

29 Nov 2012

The Fed’s Warning Shot at Foreign Banks

 

24 May 2012

The Fed Approves China

 

International Sanctions

 

20 Mar 2013

What’s Going On – Over a Month of Section 219 Disclosures Under the Iran Threat Reduction and Syria Human Rights Act of 2012

 

1 Sep 2010

New US Economic Sanctions Create Risks for Non US Financial Institutions

 

Investment Banking Compliance

 

5 Oct 2015  FINRA Publishes FAQs Regarding Research Conflicts of Interest in the Offering Process  

31 Jul 2015 FINRA Requests Comment on Proposed Rule Requiring Delivery of FINRA Disclosure Document to Customers of Transferring Representatives

21 Feb 2014

SEC Offers Relief to M&A Brokers

18 Mar 2013

Thinking Ahead: Breaking Down FINRA’s Revised Proposed Fixed-Income Research Rule

 

9 Oct 2012

OCIE Staff Publishes Summary Report on Broker-Dealer Practices Relating to Information Barriers

 

IPO Allocation

 

6 Dec 2013 SEC Approves Amendment to FINRA IPO Allocation Rule 5131, Easing Compliance for Fund Investors

22 Apr 2011

FINRA Rule 5131: FINRA Proposes Delaying or Eliminating Certain Provisions

 

14 Jan 2011

FINRA New Issue (IPO) Allocation Rule to Take Effect May 27, 2011; Investment Funds Must Now Consider Compliance

 

13 Oct 2010

SEC Approves FINRA Rule Regarding IPO Allocation Practices

 

25 Mar 2010

FINRA Amends 2002 Proposal Regarding IPO Allocation

 

9 Aug 2007

SEC Approves Minor Amendments to FINRA “New Issue” Rule 2790 Relating to IPO Directed Share Programs

 

1 Aug 2005

SEC Approves Amendments to NASD “New Issue Rule” 2790

 

1 Jan 2004

How Plans to Curb Spinning Could Wrong-Foot Banks

 

1 Dec 2003

NASD Reissues Proposed Rule Governing IPO Allocations and Distributions

 

1 Oct 2003

NASD Rule 2790 Revises Restrictions on the Purchase and Sale of Initial Equity Public Offerings

 

12 Sep 2002

NASD Proposes New IPO Allocation and Distribution Rules

 

Jobs Act

 

Apr 2012

JOBS Act Creates Two New Exemptions from Broker-Dealer Registration

 

Know Your Customer (KYC)

 

29 Mar 2012

More Diligent Customer Due Diligence: FinCEN and Beneficial Ownership

 

1 Feb 2006

Anti-Money Laundering Regulations for Broker-Dealers: Treasury Department Publishes Final Rules Implementing Section 312 of the Patriot Act Relating to Foreign Correspondent Accounts and Private Banking Accounts

 

1 Oct 2003

New Customer Identification Procedure Rules for Brokers and Dealers Take Effect

 

Large Trader Reporting

 

20 Jun 2012

Large Trader Reporting Rule: A Temporary Reprieve for Broker-Dealers and Broadening of Exemptions for Capital Markets Transactions

 

9 Nov 2011

Large Trader Reporting FAQs

 

7 Oct 2011

Preparing for Large Trader Reporting

 

12 May 2010

SEC Proposes Large Trader Reporting System

 

Licensing

 

11 Oct 2011

Preparing for FINRA Operations Professional Registration

 

Living Wills

 

29 May 2012

Living Will Requirements for Financial Institutions

 

26 May 2010

Financial Institution Recovery and Resolution Plans

 

New Issue Rule

 

9 Aug 2007

SEC Approves Minor Amendments to FINRA “New Issue” Rule 2790 Relating to IPO Directed Share Programs

 

1 Aug 2005

SEC Approves Amendments to NASD “New Issue Rule” 2790

 

1 Oct 2003

NASD Rule 2790 Revises Restrictions on the Purchase and Sale of Initial Equity Public Offerings

 

Outsourcing

 

11 Apr 2011

Proposed FINRA Rule Seeks to Place Limitations on Outsourcing

 

Papilsky

 

19 Aug 2010

FINRA Adopts Rule 5141 (Sale of Securities in a Fixed Price Offering) to Replace the “Papilsky” Rules

 

Privacy

 

3 Feb 2010

U.S. Privacy Rules for Asset Management Businesses: Five Key Developments for 2010

 

Private Funds

 

11 Apr 2013

SEC Lawyer Speaks to Broker-Dealer Registration Status of Private Fund Managers

 

12 Jul 2011

Dodd-Frank Act Rulemaking: SEC Finalizes Exemptions and Disclosure Requirements for Investment Advisers and Sets Compliance for Early 2012

 

18 May 2011

SEC Proposes to Update Investment Adviser Performance Fee Rules

 

8 Apr 2011

Senior SEC Official Discusses Delay in Fund Manager Registration Timeline

 

30 Nov 2010

Dodd-Frank Act Rulemaking: SEC Proposes New Exemptions and Disclosure Requirements for Investment Advisers

 

5 Aug 2010

SEC Finalizes Ten Year Effort to Overhaul Form ADV for Investment Advisers

 

16 Jul 2010

SEC Adopts Rules Targeting “Pay to Play” Practices by Investment Advisers

 

29 Jun 2010

Private Fund Manager Registration Provisions of the Dodd-Frank Bill

 

1 Jun 2010

Private Fund Manager Registration as U.S. Financial Reform Legislation Approaches the Finish Line

 

3 Feb 2010

U.S. Privacy Rules for Asset Management Businesses: Five Key Developments for 2010

 

23 Jun 2009

U.S. Financial Regulatory Reform – Investment Advisory Proposals

 

30 Apr 2009

Private Offerings to US Investors by Non-US Investment Funds

 

30 Jan 2009

“Oversight of Private Pools of Capital” Is Firmly on the Reform Agenda — What It Might Mean for U.S. Fund Managers

 

Private Placements

 

12 Jul 2013


SEC Adopts Rule Changes Allowing General Solicitation in Private Placements Under Rule 506 of Regulation D and Rule 144A


25 Jun 2013


Private Placement Update: FINRA Proposes Form of Electronic Filing for Private Placements Under Rule 5123


Jun 2012

Private Placement Update: SEC Approves FINRA Private Placement Rule

 

Apr 2012

FINRA Amends Proposed Private Placements Rule; SEC Takes Rare Step of Instituting Proceedings to Determine Whether to Approve or Disapprove

 

Oct 2011

FINRA Seeks to Expand Regulation of Private Placements

 

18 Jul 2011

Private Offerings to U.S. Investors by Non-U.S. Investment Funds: A Post Dodd-Frank Update

 

2 Mar 2011

Private Placement Update: FINRA Proposes Rule Amendments to Require Filings for Non-Institutional Private Placements

 

10 Feb 2011

Private Placement Update: SEC Proposes Changes to the Net Worth Standard for Determining Accredited Investor Status

 

3 Jun 2010

FINRA Guidance: Member Firms’ Responsibilities in Regulation D Offerings

 

30 Apr 2009

Private Offerings to US Investors by Non-US Investment Funds

 

26 Jan 2009

Private Placement Update: Electronic Filing of Form D

 

Record Keeping 

 

19 Aug 2013

SEC Adopts Changes to Broker-Dealer Net Capital and Financial Responsibility Rules

20 Apr 2003

SEC Amendments to Books and Records and Records Requirements to Brokers and Dealers Under the Securities Exchange Act of 1934 Take Effect –Accommodations made for State and SRO Regulation and Enforcement-

 

Regulation D

 

12 Jul 2013 SEC Adopts Rule Changes Allowing General Solicitation in Private Placements Under Rule 506 of Regulation D and Rule 144A

26 Jan 2009

Private Placement Update: Electronic Filing of Form D

 

Regulation M

 

30 Oct 2007

Short Sales: SEC Adopts Amendments to Rule 105 of Regulation M, Including Important Exceptions For Purchasers

 

21 Mar 2007

SEC Proposed Revisions to Rule 105: Short Selling in Connection with a Public Offering

 

Regulatory Capital 

 

19 Aug 2013

SEC Adopts Changes to Broker-Dealer Net Capital and Financial Responsibility Rules

4 Feb 2010

FINRA Adopts Changes to Financial Responsibility Rules for Carrying or Clearing Members; Creates Additional Obligations for Members Exempt Under Rule 15c3-3(k)(2)(i)

 

Research

 

5 Oct 2015 FINRA's New Fixed Income Research Rule and Modifications to the Equity Research Rule

5 Oct 2015 FINRA Publishes FAQs Regarding Research Conflicts of Interest in the Offering Process

18 Mar 2013

Thinking Ahead: Breaking Down FINRA’s Revised Proposed Fixed-Income Research Rule

 

22 Mar 2012

FINRA Releases Revised Proposal on Fixed‑Income Research Reports

 

27 Apr 2011

FINRA Releases Concept Proposal on Fixed-Income Research Reports

 

22 Oct 2009

FINRA Repeals Rule 312(f) Relating to Recommendation by NYSE Member Firms of Affiliate Securities; Retains Broader Disclosure Requirement

 

October 2006

SEC Approves Changes to NYSE Rule 312(f) Relating to Recommendation by NYSE Member Firms of Affiliate Securities

 

18 Aug 2006

NASD and NYSE Issue Joint Interpretive Guidance on Fixed Income Research

 

1 Jul 2005

Amendments to NASD and NYSE Research Rules Prohibiting Research Analyst Participation in Road Shows Take Effect

 

1 Jun 2004

NASD and NYSE Issue Second “Joint Memorandum” Regarding Research Rules

 

1 Aug 2003

SEC Approves Changes to NASD and NYSE Rules Relating to Research Analyst Conflicts of Interest

 

Resolution Authority

 

29 May 2012

Living Will Requirements for Financial Institutions

 

26 May 2010

Financial Institution Recovery and Resolution Plans

 

Rule 15a-6

 

25 Mar 2013

SEC Releases Responses to Frequently Asked Questions Regarding Rule 15a-6 and Foreign Broker-Dealers

 

9 Jul 2008

SEC Proposes Amendments to the Exemptions Available to Certain Non-U.S. Broker-Dealers under Rule 15a-6

 

Short Selling

 

1 May 2012

Selling Themselves Short: EU Enacts Regulation Banning Naked Short Sales and Sovereign Debt CDS

 

27 Sep 2010

New European Proposals on Short Selling

 

12 Mar 2010

Short Sales: A New Circuit Breaker

 

November 2008

Short Sale update: SEC extends emergency actions through temporary and final rulemaking; short selling ban expires

 

8 Oct 2008

Short Sale Update: Emergency order banning the short selling of securities of certain financial institutions to expire

 

22 Sep 2008

Short Sale Update

 

21 Jul 2008

Update: Emergency SEC Order Places Temporary Additional Restrictions on the Short Sale of Certain Financial Institution Securities—SEC amendment and guidance provide additional information for market participants

 

17 Jul 2008

Emergency SEC Order Places Temporary Additional Restrictions on the Short Sale of Certain Financial Institution Securities

 

30 Oct 2007

Short Sales: SEC Adopts Amendments to Rule 105 of Regulation M, Including Important Exceptions For Purchasers

 

21 Mar 2007

SEC Proposed Revisions to Rule 105: Short Selling in Connection with a Public Offering

 

1 Mar 2005

SEC Regulation SHO Takes Effect, Implementing a Mixed Bag of Changes to Short Sale Rules

 

Supervision

 

April 2008

Report from SIFMA’s 40th Annual Compliance and Legal Division Seminar: FINRA Officials Provide an Update on the NASD – NYSE Merger

 

1 Jan 2006

NASD extends deadline for CEO Certification under Rule 3013, and requires firms that rely on the “limited size and resources” exception to notify NASD

 

1 Dec 2004

SEC Approves NASD Rule Requiring Brokers and Dealers to Appoint a Chief Compliance Officer, and Requiring Annual Certification of Firm Policies and Procedures

 

 

Trading

13 Feb 2014

Initial Swap Trading Requirements Come into Effect—Limited Relief for Packaged Trades and Some EU Facilities

18 Jul 2013

FINRA Proposes to Publicly Disseminate Transaction Information Regarding Rule 144A Corporate Debt Securities

 

26 Feb 2013

Thinking Ahead: Preparing for implementation of FINRA’s new Front-Running Rule 5270

 

9 Jan 2013

FINRA Rule 5270 FAQs: Front Running of Block Transactions

 

20 Jun 2012

Large Trader Reporting Rule: A Temporary Reprieve for Broker-Dealers and Broadening of Exemptions for Capital Markets Transactions

 

1 May 2012

Selling Themselves Short: EU Enacts Regulation Banning Naked Short Sales and Sovereign Debt CDS

 

9 Nov 2011

Large Trader Reporting FAQs

 

7 Oct 2011

Preparing for Large Trader Reporting

 

27 Sep 2010

New European Proposals on Short Selling

 

12 May 2010

SEC Proposes Large Trader Reporting System

 

November 2008

Short Sale update: SEC extends emergency actions through temporary and final rulemaking; short selling ban expires

 

8 Oct 2008

Short Sale Update: Emergency order banning the short selling of securities of certain financial institutions to expire

 

22 Sep 2008

Short Sale Update

 

21 Jul 2008

Update: Emergency SEC Order Places Temporary Additional Restrictions on the Short Sale of Certain Financial Institution Securities—SEC amendment and guidance provide additional information for market participants

 

17 Jul 2008

Emergency SEC Order Places Temporary Additional Restrictions on the Short Sale of Certain Financial Institution Securities

 

30 Oct 2007

Short Sales: SEC Adopts Amendments to Rule 105 of Regulation M, Including Important Exceptions For Purchasers

 

21 Mar 2007

SEC Proposed Revisions to Rule 105: Short Selling in Connection with a Public Offering

 

Volcker Rule

26 Feb 2014

Comparison of New EU Proposals on Proprietary Trading and Ring-fencing Against US, UK, French and German Rules

11 Dec 2013

The Final Volcker Rule Begins to Emerge

10 Dec 2013

The Volcker Rule: A Comparison

9 Dec 2013

Ready For The Volcker Rule? What to Look For

 

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