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SEC’s Observations from Recent Examinations into Registered Investment Company Initiatives

USA - November 12 2021 On October 26, 2021, the SEC released a Risk Alert from the Division of Examinations which provides observations from recent Examinations of mutual…

Eric Chartan, Shea O. Hicks, Eric Martin

The Song Remains the Same - FINRA’s Riff on High Risk Brokers and Firms

USA - October 12 2021 On September 28, 2021, FINRA released Regulatory Notice 21-34 which introduces additional new rules aimed at addressing high…

Shea O. Hicks, Eric Martin

September 1st Implementation of FINRA Rule 1017(a)(7) - “Final Criminal Matters” and “Specified Risk Events” Defined

United Kingdom - August 30 2021 This alert is intended to supplement our prior May 11th alert titled “Through the Issuance of New Rules Aimed at Recidivist Brokers and…

Shea O. Hicks, Polly James, Robert Klingler, Eric Martin

Heads Up! Your Form CRS Grace Period Has Ended: The SEC Drops the Hammer on 27 Firms for Compliance Failures with Form CRS Filing and Delivery Requirements

USA - July 28 2021 In case you were wondering if you can still push off finalizing your Form CRS filing, posting it on your website and delivering it to clients, the…

Eric Chartan, Jeffrey J. Kalinowski, Jeffrey A. Ziesman

FINRA Warns of Potential Regulatory Exposure Stemming From Overreaching Pre-dispute Arbitration Agreements

USA - July 15 2021 With pre-dispute arbitration agreements constantly under attack by PIABA and various federal legislators, FINRA recently issued Regulatory Notice…

Shea O. Hicks, Eric Martin