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Implications of FINRA’s Recently Released 2022 Sanction Guidelines

USA - October 20 2022 FINRA’s recent overhaul of its Sanction Guidelines is the largest and most significant in two, if not three, decades. It would be quite the…

Eric Chartan, Eric Martin, Joshua Watts

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, Jeffrey J. Kalinowski, 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…

Jeffrey J. Kalinowski, Joshua Watts

The SEC’s Recent Observations from Examinations into Private Fund Advisers

USA - March 1 2022 In the last five years, the SEC observed a 70% increase in the value of private fund assets. More than 5,000 SEC-registered advisers currently manage…

Lindsay Wuller Aggarwal, Shannon M. Wheaton

The SEC’s Recent Observations from Examinations into Advisers’ Fee Calculations

USA - December 20 2021 The SEC’s Division of Examinations (the “Division”) recently concluded a national initiative (the “Initiative”) that focused on the effectiveness of…

Eric Chartan, Shannon M. Wheaton