Our in-brief roundup of notable stories from the last week.
SEC Rule 17a-1
Requires securities exchanges and other listed organizations to keep and preserve at least one copy of all documents made or received by in the course of business as such as well as in connection with the conduct of its self-regulatory activity.
Rule Overview
Jurisdiction: United States
Regulator: SEC
Topic: Recordkeeping
ECFR Title 17 Chapter II Part 240 Subpart A Section 240.17a-1Overview
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New FDA-SEC information-sharing framework heightens scrutiny of disclosures, insider trading risks and prediction market activity.
The proposal is potentially good news for affected advisers, but firms should not assume that they will automatically qualify for the new exemption.
Our in-brief roundup of notable stories from the last week.
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SEC wants to scrap 2010 restriction that blocks advisers who made recent political contributions from working with state and local pension plans.
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The Commission has proposed updates to registered transfer agent regulations, seeking to align decades-old rules with electronic recordkeeping and blockchain-based securities activity.
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The agencies signed a MOU to support the sharing of nonpublic information about regulated products and possible violations of law.
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The SEC Division of Examinations published Rule 17Ad-17 examination results for registrants to consider when assessing compliance.