Richard M. Cutshall
Greenberg Traurig LLP
Articles
5 Trends to Watch: 2023 Financial Regulatory & Compliance
USA - January 17 2023 The U.S. Securities and Exchange Commission (SEC) proposed 35 new rules and adopted 17 rules in 2022 alone. The regulator’s emphasis o…
ENABLERS Act Proposes to Expand Definition of ‘Financial Institution’; Impose BSA/AML Requirements on Professional Service Providers
USA - October 13 2022 On July 14, 2022, the U.S. House of Representatives passed bipartisan legislation that, if passed by the Senate and signed into law, would expand the…
SEC Announces 2022 Examination Priorities
USA - May 5 2022 On March 30, 2022, the Securities and Exchange Commission (SEC) Division of Examinations (Division) announced its examination priorities (the Exam…
2022 report on FINRA’s examination and risk monitoring program
USA - February 24 2022 On Feb. 9, 2022, the Financial Industry Regulatory Authority (FINRA) released its 2022 Report on FINRA’s Examination and Risk Monitoring Program…
2021 SEC Examination Priorities for Securities Industry Registrants
USA - March 26 2021 The Division of Examinations (the Division) (formerly known as the Office of Compliance Inspections and Examinations, or OCIE) of the U.S. Securities…
Claudio J. Arruda, Arthur Don, Steven M. Felsenstein, Elaine C. Greenberg, Steven M. Malina
