Putting All the Rules in Place

January 13, 2022

Putting All the Rules in Place

SEC Approves Proposal to Apply FINRA Rules to Security-Based Swaps

Nihal Patel

Commentary by Nihal Patel

The SEC approved a FINRA proposal to address the application of FINRA rules to security-based swaps.

SEC Charges Emoji User with Insider Trading

SEC Charges Emoji User with Insider Trading

The SEC charged two individuals with trading on material nonpublic information taken from a company's confidential earnings preview meeting.

GAO Finds Inconsistencies in Implementation of FISMA Cyber Requirements

GAO found that federal agencies were inconsistent in implementing cybersecurity requirements under the Federal Information Security Modernization Act.

SEC Solicits Comment on Nasdaq-Amended Proposal on Direct Listings of Primary Offerings

The SEC requested comment on a Nasdaq Stock Market LLC amended proposed rule to adjust pricing limitations on direct listings of primary offerings.

FDIC and FinCEN Launch "Tech Sprint" to Address Digital Identity Challenges

The FDIC and FinCEN will open registration for interested individuals to participate in a "Tech Sprint Program" to focus on developing solutions "for financial institutions and regulators to help measure the effectiveness of digital identity proofing."

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