SEC Announces 2021 Examination Priorities
On March 3, the Securities and Exchange Commission’s Division of Examinations announced its examinat ...View More
SEC Announces New Climate and ESG Task Force
On March 4, the Securities and Exchange Commission announced the creation of its new Climate and ESG ...View More
CFTC Announces Global Markets Advisory Committee Meeting
The Commodity Futures Trading Commission (CFTC) has announced that its Global Markets Advisory Commi ...View More
Acting SEC Chair Issues Statement on Climate-Change Disclosures
On February 24, acting Chair of the Securities and Exchange Commission Allison Herren Lee issued a s ...View More
SEC Issued Order Permitting 30-Day Filing Extension for Broker-Dealers
In response to a recent request by the Financial Industry Regulatory Authority (FINRA), the Securiti ...View More
FINRA Provides Additional FINRA Exams Online
Effective February 24, and in response to the ongoing challenges posed by the COVID-19 pandemic, the ...View More
FINRA Amends Arbitration Codes to Increase Arbitrator Chairperson Fees and Certain Arbitration Fees
On February 12, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 21-04 ( ...View More
New Rate for Fees Paid Under Section 31 of the Exchange Act
On February 16, the Financial Industry Regulatory Authority (FINRA) issued an Information Notice (No ...View More
MiFID II “Quick Fix” Adopted in Response to COVID-19
On February 15, the Council of the European Union (the Council) published a press release announcing ...View More
SEC Staff Releases Sample Comment Letter on Securities Offerings During Periods of Market and Price Volatility
On February 8, the staff of the SEC’s Division of Corporation Finance (the Staff) published a sample ...View More
Advertising by Adpathway
