Commentary by Steven Lofchie
SIFMA urged the New Jersey Bureau of Securities to wait for Regulation Best Interest to be fully implemented before enacting a proposal that would impose state-specific fiduciary duties on broker-dealers.
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Commentary by Steven Lofchie
FINRA provided guidance for broker-dealers on (i) compliance with its private placement rules and (ii) filing requirements for public offerings.
ISDA provided guidance on post-Brexit cross-border financial services for UK market participants.
FINRA reminded firms using a FINRA equity trade reporting facility to "step out" of a previously reported trade to comply with relevant trade reporting requirements.
A Facebook executive agreed to work with the IRS to improve regulations on digital currency transactions.