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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, Steffen Hemmerich, Anna T. Pinedo

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, Steffen Hemmerich, Adam D. Kanter, Wonji L. Kim, Peter M. McCamman, Stephanie M. Monaco, Anna T. Pinedo

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…

Steffen Hemmerich, Anna T. Pinedo

FINRA and MSRB Propose Shortening Trade Reporting Timeframes for Certain Fixed Income Securities Transactions

USA - August 8 2022 On August 2, 2022, the Financial Industry Regulatory Authority, Inc. ("FINRA") proposed to amend FINRA Rule 6730(a)(1) (the "FINRA Proposal") to…

Steffen Hemmerich, Anna T. Pinedo

SEC Municipal Advisor Examination Observations

USA - August 25 2022 On August 22, 2022, the Division of Examinations (the "Division") of the U.S. Securities and Exchange Commission ("SEC") published a risk alert (the…

Leslie S. Cruz, Steffen Hemmerich, Anna T. Pinedo