Reynolds Holding

JUNE 7, 2023

Thus, as part of the Dodd-Frank Act of 2010, Congress granted this agency broad authority with regard to security-based swaps. 1] This leaves the Commission with two rulemakings related to Dodd-Frank authorities regarding security-based swaps. [2] Security-based swaps, though, often are thinly traded and bespoke.

Marketability 40

Marketability Corporate Finance Compliance Finance 40

Harvard Corporate Governance

JULY 30, 2022

Today, the Commission unanimously voted to re-propose amendments to Rule 15b9-1 regarding when broker-dealers are required to register with the Financial Industry Regulatory Authority (FINRA). Kristin Pauley and Armita Cohen from the Division of Enforcement. Connie Kiggins and Carrie O’Brien from the Division of Examinations; and.

Equity 187

Equity Treasury Technology Marketability 187

Reynolds Holding

JULY 31, 2022

Today [July 29], the Commission unanimously voted to re-propose amendments to Rule 15b9-1 regarding when broker-dealers are required to register with the Financial Industry Regulatory Authority (FINRA). Kristin Pauley and Armita Cohen from the Division of Enforcement. ENDNOTES. [1] 1] [link]. [2] 34-95388 (July 29, 2022) (e.g.,

Equity 45

Equity Treasury Marketability Technology 45