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SEC Proposes New Standard of Care for Broker-Dealers: Overview and Considerations for Investment Professionals
  • Sidley Austin LLP
  • USA
  • May 9 2018

On April 18, 2018, the U.S. Securities and Exchange Commission (SEC) released for comment three proposals intended to enhance the standard of


Broker-Dealer Standard of Care: The SEC Enters the Fray
  • Morrison & Foerster LLP
  • USA
  • April 18 2018

At an open meeting held earlier today, the SEC voted 4-1 to propose a package of rules, forms, and guidance designed to define a new “best interest”


New FINRA Registration Requirement for Algo Traders Implications for broker dealers and investment advisers
  • Schulte Roth & Zabel LLP
  • USA
  • April 7 2018

On 7 April 2016, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority's proposed amendments to NASD Rule 1032


SEC's Office of Compliance Inspections and Examinations 2018 Examination Priorities
  • Bracewell LLP
  • USA
  • February 12 2018

On February 7, 2018, the Office of Compliance Inspections and Examinations (“OCIE”) of the U.S. Securities and Exchange Commission (“SEC”) published


SEC Approves FINRA Registration, Qualification and Continuing Education Rules
  • Katten Muchin Rosenman LLP
  • USA
  • October 13 2017

The Securities and Exchange Commission has approved the Financial Industry Regulatory Authority rules that (1) consolidate the National Association


FINRA Rule Amendments: SEC Approves FINRA Rule Amendments Relating to Qualification and Registration Requirements for Representatives and Principals
  • Sullivan & Cromwell LLP
  • USA
  • August 18 2017

On July 7, 2017, the Securities and Exchange Commission (SEC) issued an order approving the adoption by the Financial Industry Regulatory Authority


SEC’s Recent Order Approving FINRA Rule Change Relating To Qualification and Registration Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • July 14 2017

On July 7, the Securities and Exchange Commission issued an order adopting the Financial Industry Regulatory Authority’s proposed rule amending the


Hot Topics in Health Care and Continuing Education Presentations
  • Ulmer & Berne LLP
  • USA
  • June 21 2017

The health care industry is highly regulated and those regulations are continuously evolving. This presentation will cover recent health care


IIROC Proposes Additional Changes to the Dealer Member Plain Language Rule Book
  • Fasken
  • Canada
  • April 6 2017

On March 9, 2017, the Investment Industry Regulatory Organization of Canada (IIROC) published IIROC Notice 17-0054 - Re-Publication of Proposed IIROC


Revised Version of the Form I-9 Became Mandatory on January 22, 2017
  • Akerman LLP
  • USA
  • January 30 2017

As of January 22, 2017, U.S. employers should be using the new Form I-9 for Employment Eligibility Verification, available here. Federal immigration