Skip to main content
X

News & Insights

Help
Newest
Oldest
Relevance
Title
22364 News Results

Assorted Immediately Effective and Proposed Securities SRO Rule Changes, Including the Extension of FINRA Notice on Application of Rules to Security-Based Swaps

New SRO rules and rule proposals have been announced by the SEC. Click on the links to view the SEC's notices of each rule change and proposal. BOX: Effective Immediately - Rule Change to Increase the Position and Exercise Limits for Options on the iShares MSCI Emerging Markets Index Fund to 500,000 Contracts (See also: Exhibit 5) C2: Effective Immediately - Rule Change Relating to the Options Regulatory Fee CBOE: Effective Immediately - Rule Change Relating to the Options Regulatory Fee FINRA: Effective Immediately - Rule Change to Add the Term Chief Legal Officer to the Definition of General

Extension of Dates for Certain Requirements and Amendment of Form 19b-4; CORRECTION (SEC - Pre-Fed. Reg. Version)

On December 10, 2012, the SEC published an amendment to its regulations under the Exchange Act to extend the dates for certain requirements therein, and to amend the General Instructions to Form 19b-4 to clarify the process for submitting advance notices and security-based swap submissions to the SEC. The document contained an error with respect to the placement and numbering of a footnote. Dates: [insert date of publication in Federal Register]. View release in full here (links externally to SEC website). Related News Item: Extension of Dates for Certain Requirements and Amendment of Form 19b

SIFMA Recommends Year-End Market Closures in the U.S., UK, and the Japanese Markets

SIFMA confirmed its market close recommendations for year-end 2012 in the U.S., UK and Japan. U.S.: SIFMA Recommends Early Market Close on December 24, Full Market Close on December 25, Early Market Close on December 31, and Full Market Close on January 1, 2013, for Trading of U.S. Dollar-Denominated Fixed-Income Securities in the US in Observance of the Christmas Day and New Year's Day Holidays, Respectively UK: SIFMA Recommends Full Market Closes on December 25, December 26 and January 1, 2013 for Trading of U.S. Dollar-Denominated Fixed-Income Securities in the UK in Observance of the

SEC Issues Charges with FCPA Violations

The SEC charged Eli Lilly and Company with violations of the Foreign Corrupt Practices Act ("FCPA") for improper payments its subsidiaries made to foreign government officials to win business in Russia, Brazil, China and Poland. See: SEC Complaint and SEC Litigation Release. See also: SEC Press Release.