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SEC modernizes submission of some forms and filings
The rule requires broker-dealers, securities-based swap dealers, exchanges, clearing agencies, and other SROs to submit forms in certain electronic formats.
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FCA launches consultation on new PISCES private stock market
The proposals for a new private stock market have been given a boost as the UK regulator unveils plans to consult with the industry.
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Nasdaq board diversity rules vacated
In a narrowly-obtained decision, the Fifth Circuit determined that approving the rule exceeded the SEC’s power.
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PISCES: Fishing in the new waters of private share trading
Revised proposals will make the secondary trading platform more attractive for companies.
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Kroger-Albertsons merger blocked; Albertsons sues
A federal judge ruled that the merger would undermine competition. In a lawsuit, Albertsons claimed Kroger failed to do its due diligence.
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FCA work in review: December 2-11, 2024
Our at-a-glance guide to recent FCA activity.
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CFPB orders supervision of Google Payment Corp, Google sues
The agency has moved to scrutinize Google Pay’s books over allegedly deficient fraud responses, but the company has challenged that decision.
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Implications of appeals ruling blocking beneficial ownership registry assessed
Companies won’t be subject to liability if they fail to file beneficial ownership details right now, but they can (and should consider) doing so.