September 2023 White Paper
Rule Overview, Current State vs Proposed Future State, Requirement to Report Client Information on the Business Date the First Order is Transmitted, Requirement to Identify Sponsored Access and Algorithmic Orders on Order Entry & Requirement for Corrections
Overview, Section 1446(f) Withholding Tax Exceptions, Regulatory Timelines, Withholding Agent Responsibilities, Key Considerations for Brokers in Preparing for Rule Compliance, Illustrative Example of 1446(f) Withholding Tax Workflow
Overview, CSRD Minimum Disclosure Requirements, Regulatory Timelines, Purpose and overview of European Sustainability Reporting Standards (ESRS), Example of ESRS Sustainability Statement Structure & Disclosures
Overview, Form SHO Reporting, Securities In Scope of Rule 13f-2, Calculation Methodology for Each Reporting Threshold, Form SHO Information Tables, Public Reporting by the SEC, Amendment to the CAT NMS Plan
