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FINRA Reg Notice 17-40: Is Your AML Program Ready For FinCEN’s CDD Rule?

USA - December 8 2017 On November 21, 2017, FINRA issued Regulatory Notice 17-40 to provide member firms guidance regarding their obligations under FINRA Rule 3310…

Carolyn A. Browne, Jeffrey A. Ziesman, Richard H. Kuhlman.

Who’s on First? - Current Status of the DOL’s Fiduciary Duty Rule

USA - March 17 2017 On March 10, 2017, the Department of Labor (“DOL”) issued “Field Assistance Bulletin No. 2017-01,” notifying financial services firms that the DOL…

Richard H. Kuhlman.

Unanimous Supreme Court Rejects Effort to Cut Back Insider Trading Liability

USA - December 6 2016 The U.S. Supreme Court earlier today rejected an attempt to cut back on liability for insider trading where people give inside tips to family members…

Anne T. Redcross, Eric Rieder, Hal A. Goldsmith.

Supreme Court Reviews Insider Trading

USA - October 18 2016 On Wednesday, October 5, 2016, the U.S. Supreme Court heard oral argument in the highly anticipated insider trading case, Salman v. U.S., in which it…

Ambika Behal, Hal A. Goldsmith.

The DOL Fiduciary Rule and Potential Limitations On Investor Choice

USA - April 12 2016 On Wednesday, April 6, 2016, the United States Department of Labor (the “DOL”) released the final version of its rule imposing a “best interest”…

Jeffrey A. Ziesman, Jeffrey J. Kalinowski, John J. Schoemehl, Richard H. Kuhlman.