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FINRA 2.0: FINRA Releases Its 2020 Risk Monitoring and Examination Priorities

USA - January 14 2020 FINRA’s examination program has undergone its most significant reorganization in decades. As stated in a press release, Oct. 1, 2018, FINRA’s goal...

Emily P. Gordy, Piper A. Waldron, Anitra T. Cassas, Molly M. White.

SEC 2020 National Exam Program Examination Priorities

USA - January 8 2020 On January 7, 2020, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released its 2020 examination...

Emily P. Gordy, Piper A. Waldron, Molly M. White.

SEC Continues Compensation Disclosure Focus With FAQs and Enforcement

USA - November 20 2019 On Oct. 18, 2019, the Securities and Exchange Commission (SEC) Division of Investment Management staff published Frequently Asked Questions Regarding...

Emily P. Gordy, Aline McCullough, Anitra T. Cassas.

Ready or Not, Prepare to Start Answering Questions About Reg BI Compliance

USA - October 21 2019 On June 5, 2019, the SEC adopted Regulation Best Interest (“Reg BI”), which requires broker-dealers and associated persons to make recommendations...

Alexander Martin Madrid, Emily P. Gordy, Aline McCullough.

North American Securities Administrators Association (NASAA) Releases Model Cybersecurity Rule

USA - May 24 2019 On May 21, the North American Securities Administrators Association (NASAA)an organization comprised of 67 securities regulators within the United...

Alexander Martin Madrid, Emily P. Gordy.