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The Countdown Is On! Building a Reg BI Compliance Program as Deadlines Loom

USA - September 3 2019 On June 5, 2019, the SEC adopted a package of rulemakings and interpretations designed to enhance the quality and transparency of investors’…

Amy R. Doberman, Yoon-Young Lee, Stephanie Nicolas, Andre E. Owens, Tiffany J. Smith.

SEC approves NMS plan to implement tick size pilot for small cap stocks

USA - July 9 2015 In June 2014, the Securities and Exchange Commission ("SEC" or "Commission") issued an order directing the national securities exchanges and the…

Andre E. Owens, Cherie Weldon.

2021 AML Trends and Developments

USA - February 11 2021 Anti-money laundering ("AML") issues have been a focus of regulators and law enforcement for the past decade and will likely continue to be a…

Michael Dawson, Rachel Dober, Zachary Goldman, Franca Harris Gutierrez, Boyd M. Johnson III, Alina Lindblom, Andrew Miller, Michael Romais.

SEC Confirms Certain ICOs Are Securities Offerings; Regulators Renew Focus on Cryptocurrencies

USA - August 4 2017 An ICO, or initial coin offering, is the sale of virtual coins or tokens, often as a means of capital raising by startup companies…

Paul M. Architzel, Dan M. Berkovitz, Lillian Brown, Peter Buckland, Jennifer A. Zepralka.

FINRA Introduces Two Fixed Income Initiatives

USA - February 20 2020 The Financial Industry Regulatory Authority, Inc. (FINRA) introduced two new initiatives related to the fixed income markets. FINRA proposed to…

Mahlet Ayalew, Andre E. Owens, Cherie Weldon.