Legal Influencer

Q1| 2022

Legal Influencers

Lexology’s Legal Influencers programme recognises firms and authors that provide excellent content within a work area and region. Find out more

Articles

Results 1 to 5 of 475


Firm Settles FINRA Charges for Failures to Review Execution Quality

USA - March 2 2022 A broker-dealer settled FINRA charges for best execution and supervisory violations, and for failing to disclose material aspects of its…

MSRB Extends Period for Remote Office Inspections

USA - March 1 2022 The MSRB voted to amend MSRB Rule G-27 ("Supervision"), to allow dealer firms to conduct office inspections remotely. The extension runs until…

SEC Proposes Additional Short Selling Disclosures

USA - February 25 2022 The SEC proposed new rules and amendments to comply with Congress’s mandate to provide greater short sale transparency to investors. The proposed…

FRB Governor Brainard Highlights Digitalization and Decentralization of Payments

USA - February 18 2022 In a speech before the U.S. Monetary Policy Forum, Federal Reserve Board ("FRB") Governor Lael Brainard highlighted the increasing digitalization and…

Sebastian Souchet

Comment Deadline Set for Proposed Expansion of Form PF

USA - February 17 2022 Comments on an SEC proposal to amend Form PF are due by March 21, 2022. The Form is used for reporting by certain SEC-registered investment advisers…