The "Safeguarding Proposal": A jurisdictional grab by the SEC over custodians
On February 15, 2023, the US Securities and Exchange Commission (the SEC) proposed sweeping changes to Rule 206(4)-2 (the Custody Rule) under the…
Source: lexology.com
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SIFMA, MFA Comment On SEC's Equity Market Proposals
Order Competition Rule would harm competition among trading centers and should be withdrawn.
Source: tradersmagazine.com
Feeling conflicted: SEC Rule 192 and you | Allen & Overy LLP
On January 25, 2023, the United States Securities and Exchange Commission (the SEC) revived a proposed rule (initially proposed in September 2011) pursuant to Section 27B (Proposed Rule...
Source: jdsupra.com
FinCEN Corporate Transparency Notice of Proposed Rulemaking: Access to Beneficial Ownership Information and FinCEN Identifiers | Dechert LLP
The Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) issued a proposed rule (Proposed Rule) on December 15, 2022, implementing the requirements of Section 6403...
Source: jdsupra.com
U.S. SEC Adopts Amendments To Rule 10b5-1 And Requires Related Disclosures -
On December 14, 2022, the U.S. Securities and Exchange Commission (the SEC) adopted amendments to the affirmative defense in Rule 10b5-1(c) under the Securities Exchange Act of 1934, as amended (the Exchange Act)...
Source: mondaq.com