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...
by David Schwartz J.D. CPA | Aug 19, 2022 | All, Cross-Post, Formal Regulatory Remedies
A collection of the globe’s most significant securities trade associations[1] joined forces to file a comprehensive response to the Basel Committee on Banking Supervision’s (BCBS) second public consultation on the prudential treatment of banks’...
by David Schwartz J.D. CPA | Mar 19, 2022 | All, Change Overview and Rationale, Cross-Post, Formal Regulatory Remedies
On Friday, February 25, 2022, the Securities and Exchange Commission (SEC) proposed its latest round of GameStop rule proposals. In addition to enhanced public disclosures of short sales by institutional investors, the Commission announced a 30-day extension of the...
by David Schwartz J.D. CPA | Feb 14, 2022 | All, Change Overview and Rationale, Cross-Post, Formal Regulatory Remedies
While real-time settlement is still something that may happen far in the future, perhaps on the Starship Enterprise, T+1 is now imminent. On February 9, 2022, the Securities and Exchange Commission proposed to make T+1 a reality. The proposal aimed at reducing risks...
by Ed Blount | Mar 29, 2021 | All, Cross-Post
“Often, we get sales notifications in batch or overnight, meaning, in this new environment we’ll be getting sales notifications on the day of settlement.” Pressure is growing on industry and government to respond to 2021’s extreme stock market volatility....
