Our recent client alert discusses the new broker-dealer recordkeeping requirements for broker-dealers.
Our recent client alert discusses the new broker-dealer recordkeeping requirements for broker-dealers.
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):…
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…
Our recent client alert discusses the SEC complaint against three individuals alleging insider trading of digital assets via a scheme to trade ahead of multiple announcements regarding crypto assets being made available on a United States-based digital asset exchange at which one individual was a former product manager.