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Lent securities disclosures at heart of new proxy rule - Founder and President Amy Lynch explains. "The disclosure of the number of lent securities is the 'real difference' between the old rule and the new amendments, according to Amy Lynch, president of FrontLine Compliance. https://lnkd.in/eJfH28Ga #proxyvoting #rule #moneymanagement #funds #compliance #frontlinecompliance #frontlineexperts #frontlineedge

FINRA inches closer to reforming its long-loathed and often-violated rules governing outside business activities and private securities transactions: https://lnkd.in/e8Z64_AF #wealthamanagement #finra #reform

Jefferies LLC has agreed to pay a fine of $37,200 as part of a settlement with the Financial Industry Regulatory Authority (FINRA) over violations related to the handling of restricted trading periods in securities offerings. #FINRA #TradingViolation #Jefferies #SecuritiesTrading #RegulationM #Compliance #MarketRegulation #FinancialSettlement #TradingCompliance #FinancialPenalty

The SEC's revival of the rule to prohibit conflicts of interest in certain securitizations, which was first proposed in 2011, surprised the market, but what's next? Listen to Rebecca O'Brien, our Global Financial Markets Partner, provide valuable insights into the rule's new focus areas and what this means for securitization participants. To find out more download our latest insights publication 'Securitisation Markets and Regulation – Navigating the Shifting Sands.' - https://okt.to/Avp5No #Finance #Regulation #Securitization #StructuredFinance

Understanding FINRA Rule 2111: Suitability and Its Implications The Financial Industry Regulatory Authority (FINRA) Rule 2111 is a pivotal regulation designed to ensure that financial advisors recommend suitable investments to their clients. This article delves into the intricacies of Rule 2111, analyzing its implications for the securities industry, and providing a comprehensive overview for investors and professionals alike. https://lnkd.in/gAp-9k6K #investorprotection #finra #bhseclaw #suitability #investorfraud

The recent amendments to the definition of a “dealer” are intended to require certain proprietary or principal traders and liquidity providers to register as either a dealer or government securities dealer as applicable. #SecuritiesLawBlog #SEC #ALCLAW

The recent amendments to the definition of a “dealer” are intended to require certain proprietary or principal traders and liquidity providers to register as either a dealer or government securities dealer as applicable. #SecuritiesLawBlog #SEC #ALCLAW

The recent amendments to the definition of a “dealer” are intended to require certain proprietary or principal traders and liquidity providers to register as either a dealer or government securities dealer as applicable. #SecuritiesLawBlog #SEC #ALCLAW

On 25 January 2023, the U.S. Securities and Exchange Commission re-proposed a rule, previously presented in 2011, to prevent material conflicts of interest with an investor in asset-backed securitization transactions. The final Rule 192 was published on 7 December 2023 and addressed a number of concerns with the initial proposal that would have had a far-reaching impact. In this article, New York senior counsel Russell Slanover discusses the requirements of the final Rule 192 and steps that firms should take now to ensure compliance. #Securities #SEC #CapitalMarkets #ConflictOfInterest #Compliance

On 25 January 2023, the U.S. Securities and Exchange Commission re-proposed a rule, previously presented in 2011, to prevent material conflicts of interest with an investor in asset-backed securitization transactions. The final Rule 192 was published on 7 December 2023 and addressed a number of concerns with the initial proposal that would have had a far-reaching impact. In this article, New York senior counsel Russell Slanover discusses the requirements of the final Rule 192 and steps that firms should take now to ensure compliance. #Securities #SEC #CapitalMarkets #ConflictOfInterest #Compliance