Bruce Newman

SEC Sanctions CLO Manager For Inadequate Polices To Prevent Nonpublic Information Misuse

SEC Modernizes Data Protection Rules For Safeguarding Customer Information

SEC Adopts Rules Shortening The Standard Settlement Cycle To T+1

The SEC Proposes Regulation Best Execution

SEC Holiday Reading List: Four Rule Proposals That Would Overhaul Market Structure And How Retail Orders Are Executed

SEC Adopts Amendments To Electronic Recordkeeping Requirements For Broker-Dealers And Security-Based Swap Dealers

SEC Brings First Identity Theft Enforcement Actions Since 2018

SEC Proposes New Rules Defining "Dealer" Status: Proposal Seeks To Clarify When Unregistered Firms Engaged In Market-Making And Liquidity-Providing Activities May Need To Register As Dealers

SEC Proposes Significant New Regulatory Obligations For Communication Protocol Systems And Government Securities ATSs

2021 AML Trends And Developments