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FINRA Proposes Changes for New Membership Applications and Continuing Membership Applications

USA - August 7 2018 Last week FINRA issued a 51 page (with 85 Footnotes) Regulatory Notice (18-23) which proposes major and far reaching changes to the rules and...


OCC to Provide a Regulatory Framework for Fintech Companies

USA - August 6 2018 On July 31, 2018, the Office of the Comptroller of the Currency (“OCC”) announced that it will begin accepting applications for special-purpose...

Matthew C. Luzadder, Merrill B. Stone, Wendy A. Clarke.


FinCEN AND FINRA News for 2018

USA - January 25 2018 In December 2017, the U.S. Treasury’s Financial Crimes Enforcement Network (“FinCEN”) announced the...

Matthew C. Luzadder, Randall D. Lehner, Wendy A. Clarke, Timothy R. Lavender.


Requests to Expunge Customer Dispute Information

USA - January 2 2018 In December 2017, FINRA issued Regulatory Notice 17-42 to request comments on its proposed amendments to the procedures relating to requests to...

Randall D. Lehner, Wendy A. Clarke, Timothy R. Lavender.


FinCEN Publishes Final Customer Due Diligence Rules Introducing New Measures to Control Money Laundering and Other Financial Crimes

USA - May 18 2016 On May 11, 2016, the U.S. Treasury Department's Financial Crimes Enforcement Network ("FinCEN") Final Rule codifying new and existing customer due...

Matthew C. Luzadder, Wendy A. Clarke.