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Searching Content indexed under Securities by Ryan Eickel ordered by Published Date Descending.
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SEC Proposed Changes To Accelerated And Large Accelerated Filer Definitions
In this Lexis Practice Advisor® Practice Note, we discuss the proposed amendments issued by the Securities and Exchange Commission
United States
22 Aug 2019
2
Clayton Comes Out Swinging Against Critics Of Regulation Best Interest
In a speech on July 8, 2019, SEC Chair Jay Clayton responded to criticism of Regulation Best Interest, setting out his arguments in a concise, step-by-step rebuttal.
United States
6 Aug 2019
3
Insurance Company Buyers Of Structured Notes Should Consider Proposed NAIC Amendments
The NAIC Valuation of Securities (E) Task Force will have its first opportunity to consider the SVO's recommendation at its meeting on August 4, 2019.
United States
6 Aug 2019
4
Reminder: The EU Prospectus Regulation Is Effective – Key Legal Facts
The minimum content requirements for issuer and securities disclosures remain essentially unchanged.
European Union
6 Aug 2019
5
FINRA Sanctions A Brokerage For Failure To Reasonably Supervise Securities Transactions
FINRA found that Dealer received but did not review the alerts.
United States
6 Aug 2019
6
FINRA Increases Margin Requirements For ETNs And Options On ETNs
Debt securities, which include ETNs, are margin securities.
United States
6 Aug 2019
7
FINRA Reminds Firms Of Their TRACE Reporting Obligations
FINRA recently issued a Trade Reporting Notice to remind firms they must report any transaction in a "TRACE-Eligible Security" unless an exception applies.
United States
5 Aug 2019
8
The SEC Adds Its Voice To The LIBOR Chorus
In a public statement dated July 12, 2019, the SEC's Divisions of Corporation Finance, Investment Management and Trading and Markets, and the Office of the Chief Accountant, encouraged market participants ...
United States
5 Aug 2019
9
SEC's Proposed Amendments To Accelerated And Large Accelerated Filer Definitions
On May 9, 2019, the US Securities and Exchange Commission (SEC) proposed revisions to the accelerated filer and large accelerated filer definitions in 17 CFR 12b-2 (Rule 12b-2).
United States
3 Jun 2019
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