Pete S. Michaels
Mintz
Articles
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”)…
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…
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…
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…
