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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, Brian Baltz, Emily P. Gordy, Elizabeth J. Hogan, Clare E. Reardon, Bryce P. Saunders

Northern District of Ohio Holds Expert Evidence Must Be Admissible to Be Considered at Class Certification

USA - February 8 2022 As we touched on last summer, whether a district court may certify a class action without resolving challenges to the admissibility of fact or…

Allison L. Ebeck, Alexander Martin Madrid

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…

Brian Baltz, Emily P. Gordy, Cheryl L. Haas, Aline McCullough