Our recent client alert discusses FINRA’s recent focus on succession planning.
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…
Law360 published some of our recent thoughts on the SEC’s framework for regulating cryptocurrency and DeFi. You can read that article here.
FINRA recently proposed amendments to FINRA Rule 3110 (Supervision) to adopt a voluntary, three-year pilot program (Pilot Program) to allow member firms to conduct remote branch office inspections. In a nod to where things have headed since the onset of the Covid-19 pandemic (WFH and such), providing firms with the…
Our recent client alert discusses how U.S. financial services regulators are increasingly exploring what the metaverse, augmented reality (AR), and virtual reality (VR) mean for their registrants’ businesses and also for the means and methods of regulating them.
Back in April 2022, we wrote about the SEC killing the Dealer/Trader distinction. We also noted then that it would come as no surprise to see the SEC re-propose amendments to Exchange Act Rule 15b9-1. Just a few months later, the SEC has done just that. Rule 15b9-1 currently exempts…