Edward J. Johnsen

DLA Piper

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FINRA publishes 2020 risk monitoring and examination priorities

USA - January 15 2020 On January 9, on the heels of the SEC’s January 7 publication of the Office of Compliance and Inspections (OCIE) 2020 Examination Priorities (see our...

Mary Dunbar.

OCIE announces 2020 Examination Priorities

USA - January 9 2020 On January 7, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) announced its 2020 Examination...

Deborah R. Meshulam, Mary Dunbar, Bradley E. Phipps.

FINRA issues report and guidance on annual compliance meetings

USA - October 25 2019 On October 18, 2019, the Financial Industry Regulatory Authority issued Regulatory Notice 19-34 (the Notice) to announce that it has reviewed the...

Mary Dunbar.

US regulators assert jurisdiction on several fronts regarding digital assets

USA - October 16 2019 On October 11, 2019, the Chairs of the US Commodity Futures Trading Commission (CFTC) and the US Securities and Exchange Commission (SEC) and the...

Deborah R. Meshulam, Brooke Goodlett, Mary Dunbar, Nick Pullman.

SEC and FINRA publish initial guidance on Regulation Best Interest and Form CRS

USA - October 9 2019 The Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) have published initial guidance on compliance with...

Deborah R. Meshulam, Mary Dunbar, Bradley E. Phipps.