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SEC Staff Issues No-Action Letter Regarding Digital Asset Securities Trading on ATS Platforms

USA - October 22 2020 The Staff of the Securities and Exchange Commission’s Division of Trading and Markets (Staff) issued a no-action letter to the Financial Industry...

Timothy Spangler, Andrew J. Schaffer, Devon Roberson.

SEC Proposes Conditional Registration Exemption for Finders

USA - October 15 2020 The Securities and Exchange Commission voted 3-2 on October 7, 2020 to publish for comment a proposed conditional exemption (Proposed Exemption)...

Russel G. Perkins, Tricia J. Lee, Elizabeth McClain, Monica R. Patel.

OCIE Publishes Risk Alert on COVID-19 Compliance Risks and Considerations for Broker-Dealers and Investment Advisers

USA - August 24 2020 The staff of the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (staff) issued a National Exam Program Risk...

Mark D. Perlow, Ashley N. Rodriguez, Tricia J. Lee, Nicholas DiLorenzo.

SEC Updates Rule 17H Risk Assessment Thresholds for Certain Broker Dealers

USA - July 22 2020 The Securities and Exchange Commission issued an order (Order)1 on June 29, 2020, under Section 17(h)(4) of the Securities Exchange Act of 1934...

Jennifer O'Brien.

What Did the DOL Just “Rollover” (and Roll Out)? - “A Primary Basis” for Understanding the New Proposed ERISA Exemption and Related Guidance

USA - July 16 2020 The U.S. Department of Labor (the “DOL”) on June 29, 2020 issued a release (the “Release”) proposing an important new initiative for retirement...

Samuel Scarritt-Selman, Steven Rabitz, Andrew H. Braid, Andrew L. Oringer.