Please enjoy this free trial of our subscription content service, for a limited time only.
Several registered investment advisers have received examination letters related to T+1 settlement compliance.
Speech by Verena Ross on the EU transitioning to a faster securities settlement cycle.
News of the FDIC chair’s resignation, plus upcoming compliance dates and the latest on crypto ETFs.
The transition to faster securities settlement in the US will have a significant impact on UK and EU firms with holdings in North and Central America.
SEC Speaks is an annual forum where the SEC provides guidance to the legal community on rules, regulations, and enforcement actions.
Move aims to help broker-dealers preparing for a shortened standard settlement cycle.
The proposal is part of the regulator’s business plan for the final year of its three-year strategy.
Trade association assesses market trends while regulator pulls together guidance on Reg BI.