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FinCEN requires financial institutions to obtain beneficial ownership information

USA - June 1 2016 FinCEN’s new CIP beneficial owner rules may hinder the ability of shell and nominee companies to directly access the US financial system without...

Christopher D. Menconi, Joshua B. Sterling, Monica L. Parry, W. John McGuire, Thomas S. Harman.


FINRA Rule: Thou Shalt Not Exploit Thine Elders

USA - February 13 2017 The US Securities and Exchange Commission (SEC) has approved a new rule proposed by the Financial Industry Regulatory Authority, Inc. (FINRA) to...

Nicholas J. Losurdo, Kathleen H. Shannon, Mary M. Dunbar.


Nevada Imposes Fiduciary Obligations on Broker-Dealers and Investment Advisers

USA - June 23 2017 On June 2, Nevada Governor Brian Sandoval approved amendments (the "June 2017 Amendments") to the Nevada financial planner statute (NRS 628A) to...

Monica L. Parry, Mark D. Fitterman.


SEC Tackles MiFID II Research Issues

USA, European Union - November 3 2017 On October 26, 2017, the staff of the Securities and Exchange Commission (SEC), following consultation with European authorities, issued three...

Brian J. Baltz, Roger P. Joseph, Timothy W. Levin, Steven W. Stone, William Yonge.


SEC approves long-anticipated FINRA research rules

USA - July 22 2015 New FINRA Rule 2241 consolidates and expands upon legacy NASD and NYSE rules to address equity research analyst activities, equity research reports...

John V. Ayanian.