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FinCEN’s Customer Due Diligence Rule Becomes Effective; FinCEN and FINRA Guidance Provides Interpretive Color for Firms Working to Comply

USA - May 21 2018 May 11, 2018 marked the compliance date for the Customer Due Diligence Requirements for Financial Institutions rule issued by the U.S. Treasury...

Stuart K. Fleischmann, Nathan J. Greene, Merritt S. Johnson, Ilir Mujalovic, P. Sean Kelly, Lona Nallengara, Andrew J. (Buddy) Donohue, Jay G. Baris, Russell D. Sacks.


Raising the Bar? SEC Proposes Broker-Dealer Standard of Care and Guidance on Investment Advisers’ Fiduciary Standard

USA - April 24 2018 On April 18, 2018, the U.S. Securities and Exchange Commission (“SEC”) took the long-awaited step of proposing rules, interpretations and guidance...

Reena Agrawal Sahni, Nathan J. Greene, Paul S. Schreiber, Andrew J. (Buddy) Donohue, Jay G. Baris, Kenneth J. Laverriere, Barnabas W.B. Reynolds, Thomas Donegan, Russell D. Sacks.


Treasury Issues Report and Recommendations on Capital Markets

USA - October 13 2017 On October 6, 2017, the US Department of the Treasury released a 220-page report on reforming the US regulatory system for the capital markets...

Reena Agrawal Sahni, Nathan J. Greene, Bjorn Bjerke, Timothy J. Byrne, Lona Nallengara, Andrew J. (Buddy) Donohue, Catherine Sum, Russell D. Sacks, Geoffrey B. Goldman.


FINRA Releases New Guidance Regarding Social Media and Digital Communications

USA - June 26 2017 On April 25, 2017, the Financial Industry Regulatory Authority (“FINRA”) issued Regulatory Notice 17-18, Social Media and Digital Communications (the...

Jenny Ding Jordan, P. Sean Kelly, Russell D. Sacks, Steven Blau.


FINRA Proposes Limited Safe Harbor for Desk Commentaries From Certain Requirements of FINRA Equity and Debt Research Rules

USA - May 3 2017 FINRA recently published a proposal to establish a limited safe harbor (the "Safe Harbor") for desk commentaries from certain requirements of FINRA's...

Jenny Ding Jordan, Russell D. Sacks, Steven Blau.