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Searching Content indexed under Securities by Martín Estrada ordered by Published Date Descending.
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1
FINRA Seeks Comment On Senior Protection Rules
On August 9, 2019, FINRA issued Regulatory Notice 19-27 requesting comments on its rules and administrative processes that most directly apply to financial exploitation of senior investors.
United States
2 Sep 2019
2
Update On Proposed NAIC Amendments Affecting Insurance Company Buyers Of Structured Notes
As we reported in the prior issue, the National Association of Insurance Commissioners Valuation of Securities Task Force would be considering the recommendation from the Director of the NAIC Securities Valuation Office.
United States
2 Sep 2019
3
FINRA Reminds Firms To Engage With The SEC On Regulation Best Interest
On August 7, 2019, FINRA issued Regulatory Notice 19-26, which reminded member firms that Regulation Best Interest and the related Form CRS relationship summary were each adopted by the SEC on June 5, 2019.
United States
2 Sep 2019
4
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
5
FIMSAC Approves Recommendation For Investor Education Regarding Retail Notes
In a meeting held on July 29, 2019, the SEC's Fixed Income Market Structure Advisory Committee ("FIMSAC") unanimously approved its Corporate Bond Transparency Subcommittee's
United States
2 Sep 2019
6
Annual Review Of Federal Securities Regulation
The Annual Review of Federal Securities Regulation, prepared by the Subcommittee on Annual Review of the Committee on Federal Regulation of Securities of the ABA Business Law Section
United States
30 Aug 2019
7
Market Trends 2018/19: U.S. Tariff Policies
This market trends article identifies disclosures related to U.S. Tariff Policies that offer more detailed discussions on the actual and potential effects for the particular registrants and concludes with...
United States
19 Jun 2019
8
Refresher: Using Free Writing Prospectuses For Structured Notes Offerings
With the SEC's Securities Offering Reforms in December 2005 came a new tool for offering securities: the free writing prospectus.
United States
13 Jun 2019
9
House Passes Resolutions On Financial Literacy And Support For Elderly
On April 30, 2019, the U.S. House of Representatives passed H. R. 328, Supporting the Protection of Elders Through Financial Literacy and H.R. 1876, the Senior Security Act of 2019.
United States
11 Jun 2019
10
OCIE's Retail Investor Protection Focus
On April 29, 2019, Securities and Exchange Commission Office of Compliance Inspections and Examinations Director Peter Driscoll delivered a speech on the OCIE's 2019 priorities, in which he identified, among other priorities, the following:
United States
10 Jun 2019
11
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
12
SEC Informal Guidance Scrutinized By Commissioner And Subject To OMB Memo
On April 8, 2019, Commissioner Hester Peirce of the Securities and Exchange Commission ("SEC") delivered a speech entitled "SECret Garden" at the Practicing Law Institute's 2019 SEC Speaks conference.
United States
13 May 2019
13
Dialogue With SEC Director Of Division Of Corporation Finance
On November 16, 2018, the American Bar Association's Committee on Federal Regulation of Securities hosted a dialogue with William Hinman, Securities and Exchange Commission ("SEC")...
United States
23 Nov 2018
14
Heritage Foundation Hosts Discussion On The JOBS Act
On October 23, 2018, the Heritage Foundation hosted a discussion entitled, "Problems with the JOBS Act and How They Can Be Fixed" that featured University of Kentucky College of Law Professor...
United States
21 Nov 2018
15
ISDA Benchmark Supplement
Introduction to the ISDA Benchmarks Supplement.
European Union
31 Oct 2018
16
Market Trends 2017/18: U.S. Tariff Policies
Since January 2018, the present U.S. administration has imposed a series of tariff policies (U.S. Tariff Policies) that potentially have a wide range of consequences to domestic and international trade and the capital markets.
United States
29 Oct 2018
17
US Tariff Policies
Since January 2018, the present U.S. administration has imposed a series of tariff policies (U.S. Tariff Policies) that potentially have a wide range of consequences ...
United States
29 Oct 2018
18
FINRA Releases Report On The Rise Of RegTech
RegTech may be particularly helpful as FINRA members begin to engage in electronic structured products trading platforms.
United States
29 Oct 2018
19
SEC Releases C&DIs Regarding Regulation Crowdfunding
The SEC Staff notes that an intermediary is permitted to have a financial interest in the issuer.
United States
19 Oct 2018
20
SEC Disclosure Updates And Simplification Rules To Become Effective 11/05/18
On August 17, 2018, the SEC amended certain disclosure requirements that it considered to have become redundant, duplicative, overlapping, outdated or superseded ...
United States
8 Oct 2018
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