Our client alert discusses the two important upcoming SEC rulemakings concerning the regulation of security-based swaps.
The post SEC to Enhance Its Regulation of Security-Based Swaps appeared first on FinReg + Policy Watch.
FinReg + Policy Watch, published by Goodwin Procter, focuses on regulatory developments and policy issues affecting financial markets and institutions. The blog covers topics such as SEC rulemakings and examinations, compliance with financial regulations including security-based swaps and identity theft protections, market structure proposals, and regulatory notices from FINRA. It provides updates and analysis on enforcement priorities, regulatory alerts, and best practices for firms operating in investment funds, broker-dealer, and advisory sectors. The content is aimed at helping financial services professionals understand and navigate evolving regulatory frameworks and compliance obligations.
Our client alert discusses the two important upcoming SEC rulemakings concerning the regulation of security-based swaps.
The post SEC to Enhance Its Regulation of Security-Based Swaps appeared first on FinReg + Policy Watch.
Our client alert discusses the SEC Division of Examinations list of priorities for 2023, which provides a roadmap for firms to better understand where the Division will take its examination efforts over the coming months.
The post SEC Examinations Division…
Our client alert discusses the SEC Division of Examinations risk alert summarizing observations from exams of registered investment advisers and broker-dealers related to compliance with Reg. S-ID, which is generally designed to protect and prevent retail customers from identity theft…
Our client alert discuss recent SEC rulemakings covering proposed new “Regulation Best Execution” (new Exchange Act Rules 1100, 1101, and 1102 establishing a best execution standard and requiring robust policies and procedures for firms engaging in certain conflicted transactions with retail…
Our client alert discuss FINRA Regulatory Notice 22-31 reminding members of their regulatory obligations under Rule 4512 with respect to “Trusted Contact Persons” or “TCPs,” explaining the benefits of designating TCPs, and providing resources to educate customers about the role…
Our client alert discuss the recent SEC amendments to Exchange Act Rule 17a-4 adopting new recordkeeping requirements for broker-dealers. Most notably, the SEC will no longer require broker-dealers to maintain records in “write once, read many” or “WORM” format. Instead, broker-dealers…
Our client alert discusses FINRA’s 2023 Report on its Examination and Risk Monitoring Program, which serves as a resource for firms to use to bolster their compliance programs and provides a roadmap of FINRA’s main areas of examination for 2023.…
Our client alert discusses the deficiencies the staff identified during examinations and provides examples of weak practices observed at firms. EXAMS staff intends for the alert to assist broker-dealers in reviewing and enhancing their Regulation Best Interest compliance programs. The…
Our client alert discusses a new federal exemption from SEC registration for small business M&A brokers as new Exchange Act Section 15(b)(13).
The post New Federal M&A Broker Exemption is a Big Deal! appeared first on FinReg + Policy Watch
Our recent client alert discusses the SEC’s Fall 2022 “Reg Flex” agenda, which provides a glimpse into how the agency will prioritize its resources over the coming six months from a policy and rulemaking standpoint.
The post SEC Regulatory Agenda…