Jason L. Burrell

Mintz

Articles

Results 1 to 5 of 12


FinCen Issues Statement Regarding Publication of Suspicious Activity Reports (SARs)

USA - September 3 2020 On September 1, 2020, the Financial Crimes Network (“FinCEN”) issued a statement regarding various media outlets’ intent to publish Suspicious…

Eoin P. Beirne, Cory S. Flashner, Pete S. Michaels

NASAA’s COVID-19 Task Force Uncovers Investment Scams Related to the Pandemic

USA - August 26 2020 In response to the COVID-19 pandemic, the North America Securities Administrators Association (NASAA) put together a task force in April 2020…

David L. Ward

SEC Risk Alert Addresses COVID-19 Compliance Risks and Considerations

USA - August 14 2020 On August 12, 2020, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert, warning…

David L. Ward

FINRA Will Look at “Good Faith Efforts” of Firms on Reg. BI Enforcement

USA - July 9 2020 In April 2020, we previously discussed FINRA’s focus on enforcement of Regulation Best Interest (“Reg. BI”) as the enforcement date approached.Now…

David L. Ward

The CFTC and NFA Issue No-Action Relief to FCMs and Introducing Brokers in Calculating Net Capital After Receiving of Covered PPP Loans under the CARES Act

USA - April 22 2020 On April 23, 2020, the CFTC announced a targeted no-action relief to certain market participants from compliance with net capital treatment of…

Therese M. Doherty