Article
24 Jan 2025
The U.K.'s New Lighter-touch Short Selling Regime
AUTHORS CONTENT
Article
28 Nov 2024
The Use Of AI In The Securities Industry: U.S. Regulatory Considerations For Broker-Dealers And Sec-Registered Investment Advisers
Article
23 Oct 2024
Cyber And AI: NYDFS Has Entered The Chat
Article
02 Feb 2024
SEC Adopts Clearing Requirement For U.S. Treasury Transactions
Article
17 Jan 2024
NYDFS Finalizes Significant Amendment To Part 500 Cybersecurity Regulation
Article
24 Jan 2023
2023 Report On FINRA's Examination And Risk Monitoring Program
Article
04 Nov 2022
FSOC Report On Digital Assets: Mitigate Crypto Risks Through Regulatory Oversight
Article
16 May 2022
SEC's Proposed Amendments To Definition Of ‘Exchange': A Potential Game-Changing Impact On Crypto Companies
Article
18 Mar 2022
U.S. Crypto Regulation: Biden Signs Executive Order On Strategy To Regulate Crypto
Article
10 Jan 2022
SEC Staff Publishes Statement Regarding Form CRS Disclosures
Article
22 Jan 2021
Banking Under Biden
Article
28 Dec 2020
A Look At The Biggest Overhaul Of U.S. Anti-Money Laundering Laws In Decades
Article
24 Dec 2020
FINRA Proposes Filing Of Retail Communications In Private Placement Offerings
Article
17 Dec 2020
New York Updates Form D Filing Procedures
Article
12 Nov 2020
SEC Proposes Order To Exempt Certain Finders From Broker-Dealer Registration
Article
11 Nov 2020
Banking Under Biden
Article
17 Jul 2020
FINRA Releases New Guidance On Retail Communications Concerning Private Placement Offerings
Article
10 Jun 2020
Sec Extends Securities Offering Reforms To Closed-End Funds And Business Development Companies
Article
29 May 2020
US Broker-Dealer Liquidity In The Time Of Financial Crisis
Article
19 May 2020
US States' Regulatory Responses To The Covid-19 Pandemic