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SEC Issues Risk Alert Related to Security Based Swap Dealers

SEC Issues Risk Alert Related to Security Based Swap Dealers
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SEC Expands FINRA Oversight of Proprietary Trading Firms

On Aug. 23, 2023, the US Securities and Exchange Commission (“Commission”) adopted amendments (“Amendments”) to the Securities Exchange Act of 1934… ....

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SEC Expands FINRA Oversight Of Proprietary Trading Firms - Financial Services

On Aug. 23, 2023, the US Securities and Exchange Commission ("Commission") adopted amendments ("Amendments") to the Securities Exchange Act of 1934 ("Exchange Act") to require certain SEC-registered. ....

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With Specific Focus on Crypto, SEC Revisits Proposed "Exchange" Definition Changes | Perkins Coie

The U.S. Securities and Exchange Commission (the SEC or the Commission) voted on Friday, April 14, 2023, to reopen the comment period for previously proposed amendments to Rule 3b-16. ....

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U.S. Executive Branch Update – April 17, 2023 - Government Contracts, Procurement & PPP

This report provides a snapshot of the U.S. Executive Branch priorities via daily schedules and the prior day's press releases. ....

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