During the financial crisis, the world witnessed how financial contracts known as swaps played a key role in creating a global financial hurricane. These ...
Today, the Commission, as directed by Congress, takes another important step in modernizing our executive compensation rules by proposing amendments on pay versus performance. Section ...
This rulemaking addresses a common dealer model utilized by many non-U.S. entities. These dealers often rely on personnel operating within the United States to not ...
I recognize that the SEC still lags behind the CFTC in adopting all the necessary rules for the SBS market, as required by Title VII ...
I am greatly disappointed that the proposal does not exclude smaller reporting companies from the disclosure requirement. Shares of smaller reporting companies are generally less ...
2015 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Several statutory and regulatory provisions, and related SRO rules, impose anti-money laundering obligations on broker-dealers, the SEC notes. While the Bank Secrecy Act was initially ...
Securities Exchange Act rules 17a-3 and 17a-4 speak to the books and records retention requirements for broker-dealers. Rule 17a-3 defines the records that must be ...
FINRA and the SEC have long been interested in the supervision of branch offices and that interest is now even more heightened. In its 2015 ...
FINRA rule 4370 (the “emergency preparedness rule) requires broker-dealers to create and maintain written business continuity plans relating to an emergency or significant business disruption. ...