Cadwalader Cabinet: Beneficial Ownership Reporting Expansion

The SEC proposed amendments to agency rules governing beneficial ownership reporting. Also, FINRA covered twenty-one different topics related to a firm's core compliance responsibilities. FINRA added five new topics since last year's report.

Related Keywords

Burundi , Wisconsin , United States , Gary Gensler , Hesterm Peirce , Steven Lofchie , District Court Finds Portfolio , Purpose Acquisition Companies , United States District Court , Firm Short , Risk Monitoring Program , Risk Monitoring Program Adds Five Topic Areas , Exchange Act She , Securities Exchange , Certain Exchange Members , Clarification Of Group Formation , Expand Beneficial Ownership , Persons Acquiring More Than Five , Certain Classes , Equity Security , Filing Deadlines , Qualified Institutional Investors , Initial Exempt Investors , Certain Derivative Securities , Group Formation , Related Exemptions , Data Requirements , Federal Register , Exchange Act , Securities Exchange Act , Risk Monitoring Program Adds Five Topic , Short Positions , Municipal Securities , Contact Persons , Crowdfunding Offerings , Routing Information , Consolidated Audit Trail , Special Purpose Acquisition Companies , Determining Amount , Final Rule , Remove Burundi , Burundi Sanctions Regulations , Executive Order , Certain Persons Contributing , Designated National , Blocked Persons List , Burundi Sanctions , Account Information System , Industry Members , Inactive Accounts , Environment Entitlement , Court Finds Portfolio Manager Liable , Risk Management , Western District , Securities Act Sections , Requirements Relating , Advisers Act Rule , Legal , Business , Inance , Securities , Cybersecurity , Ec , Finra , Fac , Beneficial Ownership Reporting , Proposed Amendments , Examination And Risk Monitoring Program Report ,