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