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Richard B. Margolies (Rich)

King & Spalding LLP

Articles

Results 1 to 5 of 7
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The SEC Approves Regulation Best Interest: The Broker-Dealer Standard of Conduct

USA - June 27 2019 On June 5, 2019, the Securities and Exchange Commission ("SEC") voted to adopt Regulation Best Interest: The Broker-Dealer Standard of Conduct...

Mirella Alessandra deRose, Russell Johnston, Michael J. Watling, Patricia Jo, Russell G Ryan.

Safe and Sound - FINRA and the SEC Issue Guidance on Handling Customer Information and Communications

USA - May 2 2019 Recently, the Financial Industry Regulatory Authority (“FINRA”) and the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) separately...

Mirella Alessandra deRose, Russell Johnston, Michael J. Watling, Patricia Jo, Russell G Ryan.

How Far We Haven’t Come: SEC Resistance to Blockchain Securities Continues?

USA - April 11 2019 While SEC FinHub’s new framework announced last week for identifying crypto-securities suggests continued resistance for those using digital assets to...

Jennifer DePalma (Jen), Brian R. Michael, Aaron Lipson, Jacob Gerber, Katherine Kirkpatrick.

Novel Concerns in FINRA's 2019 Risk Monitoring and Examination Priorities Letter

USA - February 22 2019 On January 22, 2019, FINRA released its 2019 Annual Risk Monitoring and Examination Priorities Letter (the “Priorities Letter”). Late last year, as...

Peter Isajiw, Carmen Lawrence, Mirella Alessandra deRose, Russell Johnston, Russell G Ryan.

FINRA Incentivizes Member Firms to Self-Report and Remediate 529 Plan Deficiencies

USA - February 4 2019 On January 28, 2019, FINRA announced a novel leniency initiative that will offer no-fine enforcement resolutions for member firms that self-report...

Carmen Lawrence, Mirella Alessandra deRose, Russell Johnston, Michael J. Watling, Russell G Ryan.