Recent Reg-Track Rules


Here are some of the recent rules on Reg-Track, that we have made available.


  1. On Aug. 13, FINRA issued notice on supervision ATS obligation.

  2. On Aug. 13, TX INS announced deadline to report Harvey claims.

  3. On Aug. 10, CFPB issued rules to waive client privacy notice.

  4. On Aug. 10, Fed fined Citi $8.6mn for execution of mortgages.

  5. On Aug. 10, ECB issued slides on Brexit shell-entity booking.

  6. On Aug. 10, SEBI issued dematerialized listing and disclosure rule.

  7. On Aug. 9, FINRA issued first industry snapshot on broker sector.

  8. On Aug. 9, Basel, FSB, CPMI, IOSCO issued 2nd report on clearing.

  9. On Jul. 30, SSE issued guide to streamline corporate bond issues.

  10. On Aug. 8, FCA issued guidance on booking arrangements in Brexit.