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FINRA’s 2019 Risk Monitoring and Examination Priorities Letter Highlights Broker-Dealer Online Distribution Platform Activities

USA - January 28 2019 FINRA recently published its 2019 Risk Monitoring and Examination Priorities Letter (“Priorities Letter”) highlighting topics upon which FINRA will...

Susan I. Gault-Brown, Kelley A. Howes.

Massachusetts Takes on Risky Broker-Dealers That Offer Private Placements

USA - July 5 2018 On July 2, 2018, the State of Massachusetts announced that it was investigating 10 broker-dealers that have 15 or more of their agents with current...

Lloyd S. Harmetz.

SEC Proposes Simplified Relationship Summary for Broker-Dealers and Investment Advisers to Use with Retail Investors

USA - May 2 2018 In the third release comprising part of the package of proposed rules and forms related to broker-dealers' and investment advisers' standards of...

Lloyd S. Harmetz, Susan I. Gault-Brown, Kelley A. Howes.

The SEC's Standard of Conduct Proposals Would Raise the Bar on Investment Advisers

USA - April 26 2018 According to the Securities and Exchange Commission (SEC or "Commission"), its April 18, 2018 release proposing an interpretation of the standard of...

Lloyd S. Harmetz, Susan I. Gault-Brown, Kelley A. Howes.

SEC Proposes a New Standard of Care for Broker-Dealers: Regulation Best Interest

USA - April 24 2018 For many years, the distinction between investment advisers and broker-dealers was clear: investment advisers were counselors who were expected to...

Lloyd S. Harmetz, Susan I. Gault-Brown, Kelley A. Howes.