The latest delay for the FINRA Rule 4210 amendments regarding covered agency transactions originally approved in the summer of 2016 should serve as a cautionary tale regarding the.
The aggressive US enforcement landscape has encouraged an increasing focus on corporate compliance programmes. Companies under US jurisdiction can face significant consequences.
The Rule Proposal Would Clarify Which Market Participants Are Engaged in Buying and Selling Securities for Their Own Account "as Part of a Regular Business" and Are Subject to Dealer Registration Requirements
The U.S. Securities and Exchange Commission (SEC) recently proposed a new rule1 (the Proposal) which could require a diverse range of market participants to register as dealers,2 including a…
The Rule Proposal Would Clarify Which Market Participants Are Engaged in Buying and Selling Securities for Their Own Account "as Part of a Regular Business" and Are Subject to Dealer.