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Searching Content indexed under Commodities/Derivatives/Stock Exchanges by Bradley Berman ordered by Published Date Descending.
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FINRA Rule 5110 – An Amendment To The Proposed Rule Change
The Financial Industry Regulatory Authority, Inc. ("FINRA") has again released proposed revisions to FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements).
United States
2 Sep 2019
2
Volcker Rule Revisions Adopted By Agencies
The Federal Deposit Insurance Corporation ("FDIC"), Office of the Comptroller of the Currency ("OCC"), Board of Governors of the Federal Reserve System ("Federal Reserve"),
United States
2 Sep 2019
3
FINRA Increases Margin Requirements For ETNs And Options On ETNs
Debt securities, which include ETNs, are margin securities.
United States
6 Aug 2019
4
Market Trends 2018/19: Medium-Term Note Programs
This market trends article examines recent trends regarding medium-term note programs, providing an overview of the market in 2018 and 2019 with a focus on general deal structure and process, recent deal terms...
United States
30 Jul 2019
5
Revised Notice Of Proposed Rule Change To FINRA Rule 5110
FINRA recently refiled its proposed rule change to amend FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements).
United States
11 Jun 2019
6
Unsuitable Sales Of Leveraged ETFs Draw FINRA's Ire; Text Messaging Violates Communications Rules
The Financial Industry Regulatory Authority, Inc. has been quite clear on its views of "non-traditional exchange traded products," such as leveraged inverse exchange-traded notes and exchange-traded funds.
United States
10 Jun 2019
7
The ARRC's Final Recommendations For New Fallbacks For LIBOR Floating Rate Notes
On April 25, 2019, the Alternative Reference Rates Committee ("ARRC") published "ARRC Recommendations Regarding More Robust Fallback Language for New Issuances of LIBOR Floating Rate Notes" ("ARRC Recommendations").
United States
17 May 2019
8
Indices: The Good, The Bad And Knowing The Difference
An issuer comes to us and asks if it can link its debt security to an index. This seemingly simple question (if the index is the S&P® 500 Index, for example) progresses ...
United States
1 Mar 2019
9
REVERSEinquiries Volume 2, Issue 2
On January 22, 2019, FINRA issued its 2019 Risk Monitoring and Examination Priorities Letter1 (the "Letter") ...
United States
28 Feb 2019
10
United Kingdom Financial Services Legislation In The Aftermath Of A No-Deal Brexit—What Potential Changes To UK Securities Laws And Regulations Should Issuers Of Securities Be Aware Of?
A significant portion of the law and regulation applicable in the United Kingdom (the "UK") pre-Brexit is derived from the European Union ("EU").
European Union
25 Jan 2019
11
FDIC Announces Review Of Brokered Deposits And Requests Comments
On December 18, 2018, the Federal Deposit Insurance Corporation (the "FDIC") published an advance notice of proposed rule-making and request for comments (the "Notice") in connection
United States
25 Jan 2019
12
SEC Investor Advocate Report On Activities For Fiscal Year 2018: Survey Results Regarding Investment Advice
The Office of the Investor Advocate released its "Report on Activities for the Fiscal Year 2018" (the "Report").2 During the 2018 fiscal year, the Investor Advocate focused significant attention
United States
25 Jan 2019
13
How Does An Index Split?
We are all familiar with forward and reverse stock splits of common stock and shares of exchange-traded funds, and the related anti-dilution provisions contained in structured notes linked to those underliers.
United States
24 Jan 2019
14
Responses To ISDA's Proposals For IBOR Replacements: A Step Toward Certainty For LIBOR Notes
In July 2018, the International Swaps and Derivatives Association, Inc. published a consultation on options for calculating adjusted risk-free rates and spread adjustments to be used as fallbacks in derivatives contracts ...
United States
24 Jan 2019
15
Proposed FINRA Corporate Financing Rule Change
On October 30, 2018, the Financial Industry Regulatory Authority, Inc. ("FINRA") filed a proposed rule change to amend FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements) (the "Rule").
United States
15 Nov 2018
16
ISDA Benchmark Supplement
Introduction to the ISDA Benchmarks Supplement.
European Union
31 Oct 2018
17
A New ARRC Consultation Addresses LIBOR Fallbacks For Floating Rate Notes
For each cessation trigger and the steps in the two waterfalls above, the Consultation requests input from market participants as to their feasibility and other aspects.
United States
24 Oct 2018
18
NYSE Proposes Change To The Definition Of "Membership Organization" Under Rule 2
The New York Stock Exchange LLC ("NYSE") proposes to amend Rule 2 to remove the FINRA or other national securities exchange membership requirement for member organizations.
United States
20 Aug 2018
19
Regulation Best Interest: Can Structured Products Conflicts Be Resolved?
Material conflicts of interest arising from financial incentives are treated differently under the Regulation, as those conflicts must be mitigated or eliminated, whereas other material conflicts of interest may be resolved with disclosure only.
United States
15 Aug 2018
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