The SEC’s Division of Trading and Markets issued a series of frequently asked questions (FAQs) regarding the amendments to the clearing rules for US Treasury securities and related amendments to the broker-dealer... Read more »
The CFTC’s Market Participants Division (MPD) published responses to frequently asked questions (FAQs) regarding futures commission merchant (FCM) registration and compliance requirements. The FAQs address, among other issues, the FCM registration process,... Read more »
The SEC’s Division of Trading and Markets and FINRA withdrew their 2019 joint staff statement on broker-dealer custody of digital asset securities, effective immediately. The SEC’s Division of Trading and Markets also... Read more »
The SECURE 2.0 Act of 2022 had many retirement plan provisions, including the pension-linked emergency savings account (PLESA) that lets workers contribute money to an account in a defined contribution plan that... Read more »
The IRS recently updated its guidance for completing Form 1099-K, used primarily by “gig” companies providing compensation using payment apps or online marketplaces and for individuals selling goods on online marketplaces such... Read more »
On December 12, 2023, California’s Labor Commissioner revised its FAQs to address changes that will occur on January 1, 2024, to the Healthy Workplaces Healthy Families Act (HWHFA), the statewide paid sick... Read more »
As we move closer to the October 31, 2023, opening date of the 2022 EEO-1 filing platform, the U.S. Equal Employment Opportunity Commission (EEOC) has issued an updated instruction booklet and set... Read more »