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In July 2023, an NPR was issued for the implementation of the Basel III Endgame affecting banking organizations with $100 billion or more in assets. Read more.
The FRB, the OCC, and the FDIC released a proposal for the implementation of the Basel III capital framework reforms which applies to large banks. Read more.
Compliance with the proposed SEC rule changes to 15c3-3 may create process improvement challenges for broker-dealer organizations. Read more about the impact.
The U.S. and Canada jurisdictions will be moving to T+1 with a May 2024 deadline, and providers are taking the necessary steps to prepare. Read on for details.
EMIR Refit requires all entities entering into derivative contracts to ensure that processes are in compliance by the 2024 deadlines. Read on for details.
The SEC finalizes rules to shorten the process for settling securities transactions from two days to one. The deadline for compliance is May 2024. Read more.
The SEC has released its semiannual regulatory agenda, which includes 23 proposed rules and 29 final rules. Read on for details.
Market abuse regulation (Mar) requires financial services firms to detect potential market abuse across a broad range of markets and financial instruments.
The SEC has extended the deadline once again for broker-dealer quotation rules for fixed income securities. Read on for details.
The ruling on 340B reimbursement rate in the 2022 OPPS Rule may impact providers participating in APMs.