Canadian Securities Administrators (CSA) - Autorités canadiennes en valeurs mobilières (ACVM)’s Post

Recently, the US Securities and Exchange Commission adopted two new rules of the Securities Exchange Act of 1934 that significantly expand the definitions of a “dealer” and “government securities dealer.” Learn more here: https://ow.ly/n9oP50QyZyE

Recently the U.S. Securities & Exchange Commission adopted Rule 192, prohibiting certain conflicts of interest in the context of asset-backed securities transactions. John Hwang, Derek Poon, and Joshua Kopel follow up their initial note on the regulation with an examination of key revisions to the rule. Read more below. #securitization #SEC #InvestmentManagement

Recently the U.S. Securities & Exchange Commission adopted Rule 192, prohibiting certain conflicts of interest in the context of asset-backed securities transactions. John Hwang, Derek Poon, and Joshua Kopel follow up their initial note on the regulation with an examination of key revisions to the rule. Read more below. #securitization #SEC #InvestmentManagement

Learn about the requirements of Forms 20-F and 6-K. Review the changes in the SEC's Rule 10b5-1 Plan regulations regarding insider trading policies. Understand the SEC's "hot-button" issues for foreign private issuers. Register now: https://lnkd.in/eWuG89js

Recently the U.S. Securities & Exchange Commission adopted Rule 192, prohibiting certain conflicts of interest in the context of asset-backed securities transactions. John Hwang, Derek Poon, and Joshua Kopel follow up their initial note on the regulation with an examination of key revisions to the rule. Read more below. #securitization #SEC #InvestmentManagement

A big thank you to Gary Gensler, chair of the US Securities and Exchange Commission, for giving keynote remarks at the #ISDA/SIFMA Treasury Forum in New York today. In his remarks, Chair Gensler discussed the SEC’s rules to require mandatory clearing of certain US Treasury securities. “The goal of these reforms is to promote the efficiency and the resiliency of these markets. The rules promote efficiency through access, transparency, competition and facilitating all-to-all trading. Doing so lowers costs on behalf of US taxpayers. The reforms promote resiliency by bringing more transactions into central clearing, as well as having well-regulated dealers and platforms,” he said. 

Do you know what the Securities and Exchange Commission (SEC) is? 📈💡 It is the regulatory and supervisory body for the securities markets in the United States. Its main responsibility is to protect investors and maintain the integrity of the securities markets. Additionally, it combats fraud in the securities investment sector to ensure that the markets are fair. It was established by the Securities Exchange Act of 1934, and its history dates back to one of the most critical moments in U.S. economic history: the Great Depression. #B1Z #SEC #RiskAdjustedInvestments #SecuringInvestments #RealEstateInvestment

The new SEC rules involving central clearing of U.S. Treasury securities will affect buy-side participants across the financial services landscape, especially those with a global footprint and on cross-border trades. Read more about the key dates to consider and next steps firms should take: https://okt.to/2GAkgO

In this month's Compliance Digest video, we discuss changes to FINRA Rule 2210, which would allow for performance projections, and how the ECB believes the ESMA should evolve into an SEC-style entity. Learn more about the latest industry news here: https://lnkd.in/gyT-AV6b #FINRA #ECB #ESMA #SEC

Could the U.S. Securities and Exchange Commission pull a bait and switch on its open-end fund swing pricing proposal, substituting another idea like a mandatory liquidity fee? To mandate any anti-dilution measure either without demonstrating a need or, if the measure is different from swing pricing, without first thoroughly detailing it in a proposal, is wrong for investors and would impose new and unsubstantiated costs on Americans planning for their financial future. Read more from the ICI Daily on why the SEC should think very carefully before attempting a bait-and-switch move towards a mandatory fee: https://bit.ly/3Hm3c41