by David Schwartz J.D. CPA | Jun 19, 2024 | All, Change Overview and Rationale, Cross-Post, Disclosure Regimes, Formal Regulatory Remedies
Many Believe FINRA Exceeded its Mandate On June 10, 2024, the SEC extended the period by which it must take action on FINRA’s proposed SLATE Rules from June 21, 2024 to August 5, 2024. The extension provides the SEC with more time to consider the proposed rule change...
by David Schwartz J.D. CPA | Oct 24, 2023 | All, Change Overview and Rationale, Cross-Post, Disclosure Regimes, Formal Regulatory Remedies
The Securities and Exchange Commission (SEC) recently adopted final rules on money market (2a-7) fund reforms. These reforms are designed to make money market funds more resilient and liquid, potentially making them safer and more attractive vehicles for mutual funds...
by David Schwartz J.D. CPA | Oct 12, 2023 | All, Change Overview and Rationale, Cross-Post, Disclosure Regimes, Formal Regulatory Remedies
The Securities and Exchange Commission (SEC) has adopted a new rule, rule 10c-1, to increase transparency in the securities lending market. The rule requires certain persons to report information about securities loans to a registered national securities association...
by David Schwartz J.D. CPA | Sep 25, 2023 | All, Change Overview and Rationale, Cross-Post
In March 2021, Archegos Capital Management, a family office run by Bill Hwang, collapsed in a spectacular fashion, leaving its counterparties with over $10 billion in losses. The collapse of Archegos was one of the largest hedge fund failures in history, and it has...
by David Schwartz J.D. CPA | Jan 11, 2023 | All, Change Overview and Rationale, Cross-Post, Disclosure Regimes, Formal Regulatory Remedies
In its recently updated regulatory flexibility agenda, the Securities and Exchange Commission has announced its regulatory priorities for 2023. A mix of old and new business, the Commission’s 2023 plans include finalizing 29 existing proposals and placing 23 new...
