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Recent SEC and FINRA Guidance to Impact Firms’ COVID-19 and Post-COVID-19 Operations

USA - August 26 2020 As the pandemic continues, firms have begun to consider whether certain practice and cultural changes spurred by COVID-19 should become more...

Cheryl L. Haas, Neelam Takhar, Aline McCullough, Piper A. Waldron, E. Andrew Southerling.

FINRA Issues Guidance to Help Firms Prepare for LIBOR Transition

USA - August 10 2020 On August 5, 2020, FINRA issued a Regulatory Notice outlining steps for broker-dealers to prepare for the pending transition away from LIBOR. The...

Bryan M. Weynand, Edward M. Nogay.

SEC and FINRA Officials Speak: Regulators Discuss Enforcement, Regulatory Priorities

USA - May 26 2020 Since the outbreak of COVID-19, the U.S. Securities and Exchange Commission and FINRA have led the way among regulators in providing guidance and...

Patrick A. Wallace, Nathan R. Pittman, E. Andrew Southerling, Emily Song, Louis D. Greenstein.

Update No. 9: Financial Services Regulators and SROs Continue to Address COVID-19 Impact

USA - May 21 2020 On May 13, 2020, the Staff of the SEC’s Division of Trading and Markets issued a no-action letter to the Financial Industry Regulatory Authority...

Patrick A. Wallace, Cheryl L. Haas, Steven W. Peretz, Nicole S. Giffin, Aline McCullough, Piper A. Waldron, E. Andrew Southerling, Joy D. Llaguno.

Update No. 8: FINRA Continues to Address COVID-19 Impact on Financial Industry

USA - May 14 2020 The Financial Industry Regulatory Authority (FINRA) continues to provide assistance and insight to member firms as the industry deals with COVID-19...

Patrick A. Wallace, Cheryl L. Haas, Steven W. Peretz, Nicole S. Giffin, Aline McCullough, Piper A. Waldron, E. Andrew Southerling, Joy D. Llaguno.