David L. Ward
Mintz
Articles
SPACS and Scams: FINRA Announces New Sweep Exams
USA - July 26 2021 FINRA President Robert Cook has announced that FINRA will conduct new regulatory sweeps focusing on three areas: 1) the use of Special Purpose…
Not So Fast: DOL Changes Course on Trump-Era ESG Investment Rule
USA - March 22 2021 The United States Department of Labor’s (“DOL”) Employee Benefits Security Administration (“EBSA”) announced on March 10, 2021 that it will not…
SEC Exam Priorities for 2021 - Focus on Seniors, Reg. BI and Climate Risk (ESG)
USA - March 5 2021 The U.S. Securities and Exchange Commission (SEC) recently released its 2021 Examination Priorities. The SEC indicates it will focus on senior…
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…
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…
