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SEC Announces Share-Class Enforcement Initiative for Advisers

USA - February 19 2018 After several years of examination focus and a series of enforcement actions, the SEC’s Enforcement Division on February 12 announced a “Share Class…

FINRA Senior Protection Rules Effective Feb. 5

USA - January 29 2018 A pair of FINRA Rule revisions designed to protect seniors from financial exploitation become effective February 5. The Rules require member firms to…

Supreme Court to Review SEC ALJs

USA - January 16 2018 On January 12, the US Supreme Court agreed to review the constitutionality of the SEC’s administrative law judges. On November 29, 2017, the SEC did…

Failure to Supervise Selling Away Arbitrable as “Connected with Business”

USA - January 11 2018 The Sixth Circuit recently affirmed that failure-to-supervise claims against a brokerage firm over outside business activities it knew nothing about…

SEC About-Face, About Time, on ALJs

USA - December 1 2017 On November 29, the SEC did an about-face and admitted its ALJs are “inferior officers” (not merely employees) subject to the Constitution’s Article…