William B. Mack
Greenberg Traurig LLP
Articles
2023 Report on FINRA’s Examination and Risk Monitoring Program
USA - February 7 2023 On Jan. 10, 2023, the Financial Regulatory Authority (FINRA) released its 2023 Report on FINRA’s Examination and Risk Monitoring Program (“Report”)…
Congress Codifies Longstanding M&A Broker Exemption from SEC Registration
USA - January 30 2023 On Dec. 29, 2022, President Biden signed into law H.R. 2617, the “Consolidated Appropriations Act of 2023.” Among the routine federal funding…
SEC Proposes to Establish a New Best Execution Standard
USA - January 20 2023 On Dec. 14, 2022, Gary Gensler, Chair of the U.S. Securities and Exchange Commission (SEC), released a statement announcing a proposal to establish…
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…
FINRA Files Amendments to Proposed Rule Change That Will Allow Remote Inspections
USA - January 17 2023 Last summer, the Financial Regulatory Authority (FINRA) proposed a rule change to its supervision rule (FINRA Rule 3110) to allow member firms to…
