On March 19, 2025, the SEC Staff published two Marketing Rule FAQs that address some of the more challenging aspects of the Marketing Rule ...

Generally, the new Marketing Rule has caused considerable confusion for registered investment advisers since its adoption in ...

After the GFC, the BCBS drafted the Basel III framework, with the aim of improving the stability of the international banking sector through higher capital requirements. The US has yet to finalize its ...

Market Surveillance has an important role in building market confidence ... to the principal and practical compliance of the trading rules. Nasdaq Oslo ASA holds a license as a derivatives ...