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OCIE Report Uncovers Repeated Compliance Issues At Advisers' Branch Offices

USA - November 20 2020 The Office of Compliance, Inspections and Examinations (“OCIE”) of the U.S. Securities and Exchange Commission (“SEC”) recently issued a report...

SEC Commissioner Considers Future ESG Investment Regulation

USA - November 17 2020 SEC Commissioner Allison Herren Lee suggested the SEC should consider standardized rules and regulations for governing socially responsible investing...

FINRA Limits Registered Persons from being Beneficiaries or Holding Positions of Trust

USA - November 17 2020 In FINRA Regulatory Notice 20-38, FINRA has adopted Rule 3241 to limit registered persons from holding “positions of trust” for clients. The new rule...

National Adjudicatory Council Revises FINRA Sanction Guidelines

USA - November 2 2020 In FINRA Regulatory Notice 20-37, FINRA set forth revised Sanction Guidelines that became effective October 20, 2020. The new FINRA Sanction...

Massachusetts Securities Division Begins Enforcement Of New State Fiduciary Conduct Standard

USA - September 2 2020 On September 1, 2020, the Massachusetts Securities Division (“MSD”) began enforcing a new state regulation that holds all broker-dealers and their...

Pete S. Michaels, Michael E. Pastore.