All the latest
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FINRA Changes to Corporate Financing Rule 5110 Effective 9.16.2020
Earlier this summer, FINRA's Board of Governors approved filing with the SEC proposed amendments to FINRA Rule 5110, which requires…
November 26, 2021
FINRA Requests Comment on Enhancements to TRACE Reporting for U.S. Treasury Securities
FINRA recently issued a request for comment on Enhancements to TRACE Reporting for U.S. Treasury Securities. TRACE is the FINRA-developed…
November 26, 2021
NFA Notice to Members I-20-44-Changes to the NFA Form PQR
The NFA recently issued a reminder that NFA Member CPOs are required to submit their December 31, 2020 NFA Form…
November 26, 2021
The NFA Released Two Rule Submission Letters Regarding Branch Offices and Filing Fines
On Monday, August 23rd, the National Futures Association (“NFA”) released two rule submission letters regarding Branch Offices and Filing Fines.…
November 26, 2021
The SEC Proposed Amendments to its Electronic Recordkeeping Requirements
November 23rd | 2021 Last week, the SEC proposed amendments to its electronic recordkeeping requirements for broker dealers, security-based swap…
November 23, 2021
The SEC’s Division of Examinations Published Their Observations Regarding IA's Fee Calculations
November 11th | 2021 The SEC’s Division of Examinations (the “Division”) has published their observations regarding Investment Advisers’ Fee Calculations.…
November 11, 2021
The SEC’s Division of Examinations Published Observations From Their Series of Examinations
November 11th | 2021 This week, the SEC’s Division of Examinations (the “Division”) published observations from their series of examinations…
November 11, 2021
The SEC Has Approved the Public Company Accounting Oversight Board’s Rule 6100
November 9th | 2021 Last week, the SEC announced that it has approved the Public Company Accounting Oversight Board’s (PCAOB)…
November 9, 2021
Preliminary Statements for FINRA BD and IA Renewal Feeds are Available for Viewing
November 9th | 2021 As of yesterday, November 8th, Preliminary Statements for FINRA BD and IA renewal feeds are available…
November 9, 2021
Examination of Advisers’ Practices for Principal and Cross Trades Involving Fixed Income Securities
July 26th | 2021 The Division of Examinations (the “Division”) of the Securities and Exchange Commission (“SEC”) conducted extensive examination…
July 26, 2021
Recent Observations About Common Deficient and Industry Practices Related to Wrap Fee Programs
July 26th | 2021The Division of Examinations (the “Division”) of the Securities and Exchange Commission (“SEC”) published observations regarding common…
July 26, 2021
CFTC Staff Issues Advisory to Swap Dealers
June 24th | 2021 The CFTC recently issued an advisory to swap dealers clarifying the use of internal models in…
June 24, 2021
Adjustment for Inflation of the Dollar Amount Tests in Rule 205-3 under the Investment Advisers Act
June 22nd | 2021 The SEC recently approved an order that adjusts for inflation the dollar amount thresholds of the…
June 22, 2021
Proposed Rule Change to Increase the National Securities Clearing Corporation Minimum Required Fund Deposit
June 22nd | 2021 The National Securities Clearing Corporation (“NSCC”) recently proposed rule change to increase the minimum Required Fund…
June 22, 2021
FINRA Eliminates the Order Audit Trail System (OATS) Rules
June 22nd | 2021 FINRA recently announced September 1, 2021 as the effective date for the elimination of the Order…
June 22, 2021
SEC Approves FINRA Changes to Rule 5122 and FINRA Rule 5123
June 15th | 2021 On June 9, 2021, the SEC approved FINRA’s proposal to amend FINRA Rule 5122 ("Private Placements…
June 14, 2021
FINRA Requests Comment on Short Interest Position Reporting Enhancements
June 9th | 2021FINRA is requesting comment on potential enhancements to its short sale reporting program. Pursuant to FINRA Rule…
June 9, 2021
Consolidated Audit Proposed Funding Model
May 26th | 2021 The comment period on a revised funding model (“Proposed Funding Model”) for the consolidated audit trail…
May 26, 2021