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The SEC’s Continued Efforts to Dive Feet First into Climate Control and ESG Initiatives

USA - June 6 2022 The SEC began highlighting climate control and ESG concerns as a hot topic in February 2021. In that month, the SEC announced the appointment of…

Lindsay Wuller Aggarwal, Eric Chartan, Shea O. Hicks, Jeffrey A. Ziesman

FINRA Requests Information from Member Firms Related to the Sale of Complex Products by May 9, 2022

USA - March 15 2022 Based on concerns regarding complex products as expressed in Regulatory Notice 22-08, FINRA is seeking comments from member firms by May 9, 2022…

Shea O. Hicks, Joshua Watts

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, Ava L. Pfeiffer, Jeffrey A. Ziesman

The SEC’s Division of Examinations Highlights Increased Concerns with Wrap Fee Programs

USA - July 23 2021 Given the continued popularity of recommending wrap fee programs to clients, the Securities and Exchange Commission’s (“SEC”) Division of…

Eric Chartan, Shea O. Hicks, Jeffrey A. Ziesman

FINRA Stresses the Need for Heightened Supervision of Non-Traditional Exchange-Traded Funds

USA - June 1 2020 FINRA recently provided additional guidance on firms’ obligations to actively supervise the trading and performance of non-traditional…

Jennifer A. Jackson, Jeffrey A. Ziesman