United States: SEC Proposes SBS Substituted Compliance For Spain - Cadwalader, Wickersham & Taft LLP
Published
The SEC published a proposed substituted compliance determination for security-based swap dealers regulated in Spain.
Full ArticlePublished
The SEC published a proposed substituted compliance determination for security-based swap dealers regulated in Spain.
Full ArticleFINRA proposed delaying the expiry date of Rule 0180 on the application of FINRA rules to security-based swaps.
An inter-dealer broker settled FINRA charges for non-compliance with SEC Regulation SCI ("Systems Compliance and Integrity") after..