Kyle Whitehead

Jul 30, 2024 | morganlewis.com | James E. Doench |Steven Stone |Amy Natterson Kroll |Christine Lombardo |John O'Brien |Christine Ayako Schleppegrell | +2 more

In an unusual move, on July 26, 2024, the Securities and Exchange Commission (SEC) stayed an order that was previously issued by its own Division of Trading and Markets just one week earlier on July 19, 2024.

Jul 30, 2024 | lexology.com | James E. Doench |Steven Stone |Amy Natterson Kroll |Christine Lombardo |John O’Brien |Christine Ayako Schleppegrell | +2 more

In an unusual move, on July 26, 2024, the Securities and Exchange Commission (SEC) stayed an order that was previously issued by its own Division of Trading and Markets just one week earlier on July 19, 2024.

Feb 27, 2024 | morganlewis.com | Ignacio A. Sandoval |Kyle Whitehead |James E. Doench |Sarah Riddell

On February 6, 2024, the US Securities and Exchange Commission (SEC) adopted new Rules 3a5-4 and 3a44-2 (the Final Rules) under the Securities Exchange Act of 1934 (the Exchange Act) to further define what it means to be engaged in the business of dealing in securities and government securities.

Feb 1, 2024 | financial-planning.com | Dan Shaw |Kyle Whitehead

Broker-dealers who don't sign up for a allowing them to maintain their remote-working arrangements may find themselves feeling they've stepped into a time warp back into pre-COVID days. May 31 is the last date for emergency rules adopted during the pandemic to allow brokerages to conduct remote inspections of .