Pete S. Michaels

Mintz

Articles

Results 1 to 5 of 30


It Gets BIgger: FINRA Joins the SEC In Bringing Reg BI Enforcement Actions

USA - October 21 2022 It’s official: Reg BI is no longer an idle tool in FINRA’s arsenal. In its first disciplinary action related to Regulation Best Interest (“Reg BI”)…

Taylor Carter, Alyssa C. Scruggs

High Risk, No Reward: SEC’s First Reg BI Enforcement Action

USA - June 21 2022 Brokers beware: Reg BI is dormant no longer. Last week, the Securities and Exchange Commission (“SEC”) filed its first enforcement action alleging…

Michael E. Pastore, Alyssa C. Scruggs

SEC Proposes Regulations to Address “Greenwashing” By Investment Funds

USA - June 13 2022 Both the Names Rule and the ESG Disclosure Rule reflect a broader agenda by the Biden Administration’s SEC to advance efforts to combat climate change…

William F. Weld, Douglas P. Baumstein, Megan N. Gates, Jacob H. Hupart, Thomas R. Burton III, Sahir Surmeli, Courtney O. Taylor

Massachusetts Securities Division Lawsuit a Bullseye for Robinhood

USA - April 5 2022 Online broker-dealers can breathe easily in the Commonwealth of Massachusetts once more, as a Massachusetts court last week found a recent regulation…

Alyssa C. Scruggs

FINCEN Seeks the Assistance of Financial Institutions in the Fight Against Environmental Crimes

USA - November 24 2021 On November 18, 2021, the Financial Crimes Enforcement Network (FinCEN) issued a Notice “to call attention to an upward trend in environmental crimes…

Michael E. Pastore