Home Proposed Rules

Proposed Rules

The securities lending market is opaque. Based on the lack of transparency and statutory objective8 to increase transparency in securities lending transactions, the Commission is ...
“We believe that converting paper submissions to electronic submissions would allow the Commission, and those persons filing the submissions, to more effectively and efficiently navigate ...
ERISA fiduciaries can make investment decisions that reflect climate change and other ESG considerations, including climate-related financial risk, and choose economically targeted investments selected, in ...
Under federal law, an investment adviser is a fiduciary.104 With respect to securities lending, advisers have a fiduciary duty to consider the tradeoffs between continuing ...
fundraising
"In March 2020, in connection with an economic shock from the onset of the COVID-19 pandemic, certain types of money market funds had significant outflows ...
The required margin for each long or short position in a security future shall be fifteen (15) percent of the current market value of such ...
As a registered broker-dealer, an ATS must also, in addition to complying with Regulation ATS, comply with broker-dealer filing and conduct obligations, including becoming a ...
The Commission is proposing a set of principles for DCMs to address the prevention, detection, and mitigation of market disruptions and system anomalies associated with ...
In response to significant concerns regarding the COVID-19 outbreak, BCBS/IOSCO decided to amend its margin policy framework to further extend the implementation schedule for the ...
This proposed rule would reduce the amount of reporting required of CPOs on their Form CPO/PQR
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination