Our recent client alert discusses the SEC’s recent securities lending proposal, which, if adopted, would create a new reporting and disclosure framework for the securities lending market. Rule 10c-1 would require any person who loans a security on behalf of itself or another person to report to FINRA certain material terms of those loans and
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SEC Proposes Alternative to “WORM” Books and Records Retention for Broker-Dealers and Security-Based Swap Entities
SEC Staff Provides Form CRS Observations, Expectations, and Best Practices
SEC Commissioner Roisman to Depart in January
FINRA Extends the Registration Qualification Window from Two to Five Years After Termination
SEC Division of Examinations Publishes Observations from its Registered Investment Company Initiatives
FINRA Adds Continuing Membership Application Requirement to Address Brokers With a History of Misconduct
Time’s Up! Broker-Dealers Must Comply with the Customer Protection Rule When Borrowing Customer Securities
CFTC Announces New Climate Risk Unit — the “CRU”
Climate Clash at the Commission?
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