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FINRA Releases Notice on Complex Products and Options

USA - March 11 2022 Evolving Retail Customer Access to These Products Raises Heightened Regulatory and Investor Protection Concerns On March 8, 2022, the Financial…

Bradley Berman, Anna T. Pinedo, Stephen Vogt

US Securities and Exchange Commission Division of Examinations 2022 Exam Priorities

USA - April 14 2022 On March 30, 2022, the Division of Examinations of the US Securities and Exchange Commission (the “Division” and “SEC,” respectively) announced its…

Leslie S. Cruz, Adam D. Kanter, Wonji L. Kim, Peter M. McCamman, Stephanie M. Monaco, Anna T. Pinedo, Stephen Vogt

SEC Division Director: Staff MiFID II Research Compensation Relief to Expire July 2023

USA - August 8 2022 Unless you attended the PLI Investment Management 2022 program on July 26, 2022, you may have missed an important announcement made by the US…

Leslie S. Cruz, Adam D. Kanter, Peter M. McCamman, Stephanie M. Monaco

SEC Staff Posts Conflicts of Interest Guidance for Investment Advisers and Broker-Dealers

USA - August 16 2022 On August 3, 2022, the US Securities and Exchange Commission (“SEC”) staff posted a bulletin (the “Bulletin”) that, in the staff’s view, reiterates…

Leslie S. Cruz, Adam D. Kanter, Stephanie M. Monaco

FINRA Publishes 2022 Report on Its Examination and Risk Monitoring Program

USA - February 15 2022 On February 9, 2022, the Financial Industry Regulatory Authority, Inc. ("FINRA") published its 2022 Report on FINRA's Examination and Risk Monitoring…

Anna T. Pinedo, Stephen Vogt