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Brian J. McGrady, Jr

Dechert LLP


Results 1 to 5 of 6
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SEC Adopts Enhanced Standard of Conduct for Broker-Dealers and Clarifies Fiduciary Duties of Investment Advisers

USA - June 12 2019 The U.S. Securities and Exchange Commission, on June 5, 2019, voted 3-1 in favor of adopting a package of rules, amendments and...

K. Susan Grafton, Mark D. Perlow, Christine Ayako Schleppegrell, Albert Jung, Steven Rabitz, Kathleen Hyer, Michael L. Sherman, Andrew L. Oringer, Robert J. Rhatigan.

SEC Proposes Best Interest Standard for Broker-Dealers, Related Investment Adviser Guidance and New Customer Relationship Summary Form

USA - July 11 2018 The U.S. Securities and Exchange Commission has published a package of proposed rules and a proposed interpretation...

K. Susan Grafton, James V. Catano, Mark D. Perlow, Ashley N. Rodriguez, Christine Ayako Schleppegrell, Shayna Gilmore, Yevgeniy Yalon, Jennifer O'Brien, Michael L. Sherman, Nicholas DiLorenzo.

Is the U.S. SEC IM Guidance Update Initiative Becoming a Thing of the Past?

USA - December 23 2015 Over the past three years, the Division of Investment Management (Division) of the U.S. Securities and Exchange Commission (Commission) has provided...

James V. Catano, Stephen T. Cohen.

SEC announces further enforcement actions in the Municipalities Continuing Disclosure Cooperation Initiative

USA - November 12 2015 The U.S. Securities and Exchange Commission (SEC or Commission) announced enforcement actions against 22 municipal underwriters on September 30, 2015...

K. Susan Grafton, Edward L. Pittman, Robert J. Rhatigan.

SEC proposes sweeping changes to liquidity risk management practices used by mutual funds and ETFs

USA - October 9 2015 The Securities and Exchange Commission (SEC or Commission) on September 22, 2015 proposed a rule that would require all registered open-end funds and...

John V. O'Hanlon, Brendan C. Fox, Brenden P.Carroll, Julien Bourgeois, Aaron D. Withrow.