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            • May 13, 2022

              SEC Takes Initial Steps to End SBSD De Minimis "Phase-in" Period

              The SEC set November 8, 2021 as the "data collection initiation date" marking the end of the "phase-in" period for the de minimis threshold for registration as a security-based swap dealer.
              nihal.patel@friedfrank.com's picture
              Commentary by Nihal Patel
            • May 13, 2022

              New Comment Deadline Set for SEC Proposals on Reg ATS and Regulation of Private Fund Advisers

              The SEC reopened the comment periods for proposals to (i) expand the scope of Regulation ATS and (ii) expand regulation of private fund advisers. As outlined in a notice in the Federal Register, comments for both proposals are now due by June 13, 2022.
            • May 12, 2022

              SEC and CFTC Chairs Highlight U.S. Regulatory Initiatives for Derivatives

              SEC Chair Gary Gensler and CFTC Chair Rostin Behnam highlighted U.S. regulatory initiatives in "new era" for derivatives.
              nihal.patel@friedfrank.com's picture
              Commentary by Nihal Patel
            • May 11, 2022

              Comment Deadline Set for SEC-Proposed Regulatory Framework for SBS Execution Facilities

              Comments on an SEC-proposed new regulatory framework for the registration and regulation of security-based swap execution facilities are due by June 10, 2022.
            • May 09, 2022

              Founders of Crypto Exchange Settle CFTC Charges for Registration and AML Violations

              The founders of a cryptocurrency derivatives exchange settled CFTC charges related to owning and operating an unregistered platform.
            • April 18, 2022

              Comment Deadline Set for SEC Proposal to Expand "Dealer" Registration Requirement

              Comments must be submitted to the SEC on or before May 27, 2022 for an SEC proposal to further define the phrase "as part of a regular business" used in the statutory definitions of "dealer" and "government securities dealer".
            • April 12, 2022

              SEC Obtains Judgment against Non-U.S. Broker-Dealer Offering Day Trading Accounts

              In the United States District Court for the Southern District of New York, the SEC obtained a final judgment against an adviser and his UK-based financial services firm for engaging in billions of dollars of U.S. securities transactions without registering as a broker-dealer.
            • April 06, 2022

              SEC Proposes New Regulatory Framework for SBS Execution Facilities

              The SEC proposed a new regulatory framework for the registration and regulation of security-based swap execution facilities.
              nihal.patel@friedfrank.com's picture
              Commentary by Nihal Patel
            • April 04, 2022

              SEC Charges Firm for Real Estate Ponzi Scheme

              The SEC sued an individual and his investment firm for their roles in defrauding investors through the selling of securities in a California real estate investment and management company.
            • March 28, 2022

              SEC Proposes Expanding "Dealer" Registration Requirement

              The SEC proposed two new rules that would further define the phrase "as part of a regular business" found in Securities Exchange Act regulations on "dealers" and "government securities dealers."
              Steven.Lofchie@friedfrank.com's picture
              Commentary by Steven Lofchie
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