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FINRA Releases 2022 Report on Examination and Risk Monitoring Program

USA - March 15 2022 In February 2022, the Financial Industry Regulatory Authority (FINRA) released the 2022 Report on FINRA’s Examinations and Risk Monitoring Program…

John V. Ayanian, Emily P. Gordy, Elizabeth J. Hogan, Chelsey Dawson Klein, Clare E. Reardon, Bryce P. Saunders

Federal Framework for Digital Asset Regulation Comes into Focus

USA - March 15 2022 On March 9, 2022, President Biden signed an Executive Order on Ensuring Responsible Development of Digital Assets (“Executive Order”) to mobilize the…

John V. Ayanian, Jeffrey P. Ehrlich, Laura Colombell Marshall, Susan C. Rodriguez, Addison Smith, Molly M. White

SEC Onslaught of Proposed Rules Turns Focus to Investment Advisers

USA - February 24 2022 The Securities and Exchange Commission (“SEC”), under Chairman Gary Gensler, continues to propose rules at a rapid pace. Three of the most recent…

John V. Ayanian

SEC Focus on Private Fund Advisers Continues With the Publication of EXAMS Risk Alert

USA - January 31 2022 On January 27, 2022, the Division of Examinations (“EXAMS”) of the U.S. Securities and Exchange Commission (“SEC”) published a Risk Alert with its…

Emily P. Gordy, Cheryl L. Haas, Chelsey Dawson Klein, Aline McCullough