U.S. House FSC releases memo regarding “Meme Stocks”

      Last week the U.S. House Financial Services Committee considered reform recommendations from industry experts’ testimonies regarding the trading volatility in “meme stocks” like GameStop. The memo from FSC Majority Staff is a succinct summary that touches on many areas the experts recommended changes, including, for example, payment for order flow, 13-F reporting, short sale disclosures, accelerated settlement, and gamification and social media.

      Previous post Next post
      Share

      More like this

      The SEC recently approved its market data infrastructure proposal

      The SEC recently approved its market data infrastructure proposal. Earlier this year, the SEC introduced its proposal to modernize the…
      Read more

      SEC Commissioner Hester Peirce's call for clearer guidance on digital assets and custody

      SEC Commissioner Hester Peirce, speaking at the British Blockchain Association Conference, recently advocated for the SEC to provide more clarity…
      Read more

      SEC Adopts Rules to Modernize Key Market Infrastructure

      The SEC recently approved its market data infrastructure proposal. Earlier this year, the SEC introduced its proposal to modernize the…
      Read more

      OCIE Risk Alert - Large Trader Obligations

      The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) recently issued a Risk Alert concerning SEC-registered investment advisers (“investment advisers”)…
      Read more

      30-Day Extension for Filing Annual Reports for Certain Broker-Dealers

      On February 12, the SEC extended the deadline for certain smaller broker-dealers to file their annual reports by 30 calendar…
      Read more

      FINRA Proposes Changes to its Private Placement Filing Requirements to Include Retail Communications

      FINRA recently submitted a proposal to amend FINRA Rule 5122 ("Private Placements of Securities Issued by Members") and FINRA Rule…
      Read more