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Top News In Steven Lofchie Today - Breaking & Trending Today

SEC Proposes To Require Extensive Disclosures On Securities Loans - Corporate/Commercial Law

The SEC proposed a rule that would impose extensive reporting requirements on any individual loaning a security. ....

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SEC Proposes Amendments To Electronic Recordkeeping Requirements - Corporate/Commercial Law

The SEC proposed amendments to its broker-dealer and security-based swap dealer electronic recordkeeping requirements, most significantly to do away with the requirement that records be kept in a non-rewriteable, non-erasable format. ....

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SEC Commissioner Roisman Offers Recommendations To Improve Order Handling Disclosure - Corporate/Commercial Law

SEC Commissioner Elad L. Roisman reviewed the existing SEC regulatory frameworks for the handling of retail orders - including payment for order flow, best execution, execution quality measurements and public price discovery - ....

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NYAG Takes Action Against Five Crypto Lending Platforms - Technology

The Office of New York Attorney General Letitia James directed two cryptocurrency lending platforms to cease operations within the next 10 days, and three other platforms to provide more information on their activities. ....

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Broker-Dealer Settles FINRA Charges For Reg. SHO Miscalculations - Finance and Banking

A broker-dealer settled FINRA charges for misapplying the Multi-Day Approach in calculations of the pre-fail credits and close-out obligations of five affiliated foreign broker-dealers. ....

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