Article
29 Jan 2026
SEC Provides Two-year Extension On Short Sale Reporting And Securities Lending Compliance
RANKINGS
This author falls within the Top 20% for their listed topics and industry categories. Based on Mondaq users readership, this author is ranked as VERY POPULAR in United States
AUTHORS CONTENT
Article
06 Oct 2025
REMINDER: Regulation S-P Amendments – Upcoming Dec. 3, 2025 Compliance Date
Article
09 Apr 2025
New AML Requirements For Investment Advisers: Lessons From Recent Enforcement Actions
Article
14 Feb 2025
Exchange Act Rule 13f-2 And Related Form SHO Update: SEC Provides A One-Year Exemption From Rule 13f-2 Compliance
Article
12 Feb 2025
Securities Lending Update: SEC Approves Securities Lending Rules
Article
28 Nov 2024
SEC's Dealer Rule Vacated
Article
13 Nov 2024
REMINDER: SEC Short Position (Form SHO) Filing Deadline Fast Approaching
Article
31 Jul 2024
UK Compliance Update: FCA Rules Will Allow CSA-Style Payments For Research From 1 Aug. 2024
Article
01 Jul 2024
Private Fund Managers Alert: New Filing Deadlines And Current Regulatory Focus Areas
Article
18 Jun 2024
Securities Lending Update: SEC Extends Review Period For Proposed Securities Lending Rules
Article
14 Jun 2024
SEC Adopts Information Security And Notification Amendments To Regulation S-P
Article
04 Jun 2024
REMINDER: T+1 Settlement Cycle And Corresponding RIA Books And Records Rules Go Into Effect May 28
Article
29 Feb 2024
SEC Targets Certain Proprietary Trading Firms And Private Funds With Expanded "Dealer" Definition
Article
10 Nov 2023
SEC Adopts Short Reporting Rule For Institutional Investment Managers With Global Scope
Article
10 Nov 2023
SEC Securities Lending Rule: Increased Transparency And The Risk Of Information Leakage
Article
07 Sep 2023
SEC Expands FINRA Oversight Of Proprietary Trading Firms