The SEC finalized a package of amendments to Regulation National Market System (Reg NMS) to reduce minimum pricing increments (or “ticks”) for certain stocks to half-penny increments,...
Recent Supreme Court decisions show a strong and continued rebalancing of power in the administrative state that has been years in the making. This update outlines what it means for the f...
While scaled back from the original proposal, the final rules expand the scope of firms required to register as dealers as a result of engaging in trading activity that has “the effect?...
The FDIC proposed enforceable guidelines on corporate governance and risk management that would apply to all state non-member banks with assets greater than $10 billion. The proposal wou...
The FDIC, Federal Reserve and OCC have proposed to extend the long-term debt and clean holding company portions of the Federal Reserve’s existing TLAC Rule for U.S. GSIBs and U.S IHCs o...
The SEC has proposed a package of reforms to equity market structure rules that would make significant changes, including to how stock orders are priced, executed and reported.
SEC Chair Gensler has directed SEC staff to consider significant changes to the pricing and execution of securities orders, including possible auction requirements for retail stock orders.
FinCEN’s proposed rule establishes the framework for a limited-duration pilot program that would allow financial institutions to share suspicious activity reports with their foreign bus...
