Our recent client alert addresses FINRA’s updates regarding the August 2021 review of its members’ practices and controls related to the opening of options accounts and related areas, including account supervision, communications, and diligence.
Our recent client alert addresses FINRA’s updates regarding the August 2021 review of its members’ practices and controls related to the opening of options accounts and related areas, including account supervision, communications, and diligence.
The SEC has been increasingly focused on digital engagement practices (DEPs) and gamification in the marketplace. In August, for example, the SEC solicited public comment on broker-dealer and investment adviser DEPs and potential regulatory approaches in this area. In October, SEC staff produced a report on “meme” stock events and…
The onset of fall signals a sad realization that summer has ended, but also the joy that “market structure” season has arrived for securities industry participants and policy wonks. Right on cue, in early October, SEC staff issued a report on equity and option market structure conditions related to the…