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SEC issues guidance regarding the proxy voting responsibilities of investment advisers

USA - September 3 2019 On August 21, 2019, in a 3-2 vote, the US Securities and Exchange Commission (SEC) voted in favor of publishing guidance (Guidance) regarding the...

Issa J. Hanna, Nicholas J. Rinaldi, John H. Walsh, Michael B. Koffler.

CFP Board’s new Standard of Conduct

USA - August 21 2019 On March 29, 2018, the Certified Financial Planner Board of Standards, Inc. (the CFP Board) adopted a revised Code of Ethics (the Code) and Standards...

Ben Marzouk, Adam C. Pollet, Bria M. Adams, Michael B. Koffler, Brian L. Rubin.

Here’s looking at you, FINRAThe possible implications of “extraordinary cooperation” and Regulatory Notice 19-23 on FINRA enforcement settlements

USA - July 17 2019 In October 2005, we wrote an article titled “Cooperation, Only More So: What it Takes to Receive Credit for Cooperating with NASD.”1 The title came...

Ben Marzouk, Issa J. Hanna, Eric A. Arnold, Sarah Razaq Sallis, Adam C. Pollet, Neil S. Lang, Leo G. Kogan, S. Lawrence Polk, Amelia Toy Rudolph, Holly H. Smith, W. Scott Sorrels, Patricia A. Gorham, John H. Walsh, Michael B. Koffler, Susan S. Krawczyk, Brian L. Rubin, Bruce M. Bettigole, Carmen L. Brun, Peter J. Anderson, Olga Greenberg.

Here’s looking at you, FINRAthe possible implications of “extraordinary cooperation” and Regulatory Notice 19-23 on self-reporting under Rule 4530

USA - July 16 2019 In October 2005, we wrote an article titled “Cooperation, Only More So: What It Takes to Receive Credit for Cooperating with NASD.”1 The title came...

Ben Marzouk, Issa J. Hanna, Eric A. Arnold, Sarah Razaq Sallis, Adam C. Pollet, Neil S. Lang, Leo G. Kogan, S. Lawrence Polk, Amelia Toy Rudolph, Holly H. Smith, W. Scott Sorrels, Patricia A. Gorham, John H. Walsh, Michael B. Koffler, Susan S. Krawczyk, Brian L. Rubin, Bruce M. Bettigole, Carmen L. Brun, Peter J. Anderson, Olga Greenberg.

Key Takeaways from SEC FinTech Forum

USA - June 6 2019 On Friday, May 31, 2019, the US Securities and Exchange Commission (SEC) hosted a forum (the FinTech Forum) to discuss financial technology...

Ben Marzouk, Issa J. Hanna, Francis X. Nolan, IV, Eric A. Arnold, Meghana D. Shah, Michael Bahar, Bria M. Adams, Nicholas J. Rinaldi, Dimitriy Kotov, Holly H. Smith, John H. Walsh, Michael B. Koffler, Susan S. Krawczyk, Gregory S. Kaufman.