Commentary by Steven Lofchie
An investment banking firm settled FINRA charges for the unregistered sale of securities.
News & Insights
21984 News Results
Commentary by Steven Lofchie
The SEC final rule adopting "risk mitigation" requirements applicable to security-based swap dealers was published in the Federal Register.
The SEC final rules governing security-based swap activity in a cross-border context and the associated deadlines were published in the Federal Register. The compliance date for registration of SBSDs will be October 6, 2021.
The FTC and the DOJ's Antitrust Division extended the comment deadline for proposed draft Vertical Merger Guidelines that would replace the DOJ's 1984 Non-Horizontal Merger Guidelines.
The Alternative Reference Rates Committee provided a "detailed practical implementation checklist" to be used by buy-side firms transitioning from LIBOR to a Secured Financial Overnight Financing Rate.