What is End-of-Life Software? Risks Involved with using End-of-Life Technology Past its Support Date, End-of-Life Planning: Things to Consider to Mitigate the Risks with End-of-Life Technology, Strategies to Minimize Risks When Operating End-of-Life Software, Important Processes to Follow When Migrating to a New Technology Solution

SEC Rule 192 prevents the sale of asset-backed securities (ABS) tainted by conflicts of interest. It prohibits certain transactions for a set time to discourage participants from structuring ABS unfavorably for investors.

Overview and timelines, Rule Requirements: Participants/ Products Affected and Prohibition Period, Prohibited Transactions and Exceptions.

Overview and timelines, Recent Amendments to the MiFID Framework for UK, Financial Services and Markets Act 2023, Policy Statement 23/4 on Improving Equity Secondary Markets, European Commission Proposed Amendments for EU, COM(2021)727 Proposal For Amendments to EU No 600/2014, EU Retail Investment Strategy Proposal

Overview, Regulatory Timelines, Quarterly Report on Order Routing, Requirements for Customer Requests for Order Routing Information, Disclosure to Customers of Execution Venue of Customers Orders, Detailed Disclosure to Customers of Order Handling

Firms continue to contend with regulatory challenges as the drive to standardize regulatory reporting persists. Regulators continue to strengthen their focus on transparency and harmonization, particularly in the derivatives space

Overview, Regulatory Timelines, Required Content in the Monthly Reports, Changes to the Rule with SEC Proposed Amendments, Elements Required to be Reported with SEC Proposed Rule Updates, New Section Covering Executions of Market and Marketable Limit Orders

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