Our recent client alert discusses the path to registration for digital or crypto asset securities brokers.
Our recent client alert discusses the path to registration for digital or crypto asset securities brokers.
Our recent client alert discusses FINRA’s recent focus on succession planning.
Our recent client alert discusses the new broker-dealer recordkeeping requirements for broker-dealers.
Our recent client alert covers FINRA’s views on this topic.
Our recent client alert addresses FINRA’s recent guidance on Reg. BI compliance.
Our recent client alert covers the recent recordkeeping fines from the SEC and CFTC.
Our recent client alert discusses a recent SEC staff bulletin covering the standards of conduct for broker-dealer and investment adviser conflicts of interest. The staff bulletin includes 13 Q&As categorized into five different flavors relating to identifying, eliminating, mitigating, and disclosing conflicts of interest, as well as related to product…
Our recent client alert addresses the new SEC “Marketing Rule” for investment advisers and the effect on private fund placement agents. The compliance date is November 4, 2022.
Law360 published some of our recent thoughts on the SEC’s framework for regulating cryptocurrency and DeFi. You can read that article here.
The SEC recently brought fraud charges against Sterlington, Louisiana and its former mayor and separately against Rochester, New York and its former executives and Rochester’s municipal advisors and principals/owners for misleading investors related to their respective bond offerings. At a high level, the SEC alleged (collectively between the two matters):…