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…
Pete S. Michaels
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…
Alyssa C. Scruggs
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…
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
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…