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845 results found

Article

DLA Piper | USA | 20 May 2020

SEC announces July 9, 2020 date for roundtable on emerging markets and China

As we discussed in our May 7 Financial Services Alert, SEC Chairman Jay Clayton issued a statement announcing that the US Securities Exchange…
Article

DLA Piper | USA | 11 May 2020

FINRA publishes effective practices for broker-dealers' senior investor protection programs and Securities Helpline-related enforcement and referral data

On April 30, FINRA published a list of effective practices for broker-dealers’ senior investor protection programs as part of a larger report on…
Article

DLA Piper | China, USA | 7 May 2020

SEC Chairman announces roundtable on emerging markets and China

On May 4, United States Securities and Exchange Commission (SEC) Chairman Jay Clayton issued a statement announcing that the SEC will be hosting a…
Article

DLA Piper | USA | 23 Apr 2020

FINRA updates frequently asked questions related to regulatory relief due to the COVID-19 pandemic

On April 10, we published a Financial Services Alert discussing FINRA’s Frequently Asked Questions Related to Regulatory Relief Due to the…
Article

DLA Piper | USA | 3 Apr 2020

SEC will not change June 30, 2020 Regulation Best Interest compliance date; FINRA proposes conforming rule changes (update from 31 March 2020)

On April 2, Securities and Exchange Commission (SEC or Commission) Chairman Jay Clayton announced that the SEC will not extend the June 30, 2020…
Article

DLA Piper | USA | 15 Jan 2020

FINRA publishes 2020 risk monitoring and examination priorities

On January 9, on the heels of the SEC’s January 7 publication of the Office of Compliance and Inspections (OCIE) 2020 Examination Priorities (see our…
Article

DLA Piper | USA | 9 Jan 2020

OCIE announces 2020 Examination Priorities

On January 7, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) announced its 2020 Examination…
Article

DLA Piper | USA | 25 Oct 2019

FINRA issues report and guidance on annual compliance meetings

On October 18, 2019, the Financial Industry Regulatory Authority issued Regulatory Notice 19-34 (the Notice) to announce that it has reviewed the…
Article

DLA Piper | USA | 16 Oct 2019

US regulators assert jurisdiction on several fronts regarding digital assets

On October 11, 2019, the Chairs of the US Commodity Futures Trading Commission (CFTC) and the US Securities and Exchange Commission (SEC) and the…
Article

DLA Piper | USA | 9 Oct 2019

SEC and FINRA publish initial guidance on Regulation Best Interest and Form CRS

The Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) have published initial guidance on compliance with…
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