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
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
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
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
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