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Jones Day | USA | 13 Apr 2021

SEC Continues Focus on AML Compliance Obligations

The Securities and Exchange Commission’s Division of Examinations ("EXAMS") released a Risk Alert on March 29, 2021, reminding broker-dealers of their…

Jones Day | USA | 18 Mar 2021

SEC Issues 2021 Examination Priorities

The U.S. Securities and Exchange Commission's ("SEC") Division of Examinations (the "Division") issued its 2021 examination priorities ("2021 Exam…

Schulte Roth & Zabel LLP | USA | 9 Mar 2021

SEC Brings Rare Regulation FD Enforcement Case — Implications for Private Fund Managers and Broker-Dealers

On March 5, 2021, the Securities and Exchange Commission charged AT&T with violating Regulation FD (“Reg FD”) for selectively disclosing material…

Schulte Roth & Zabel LLP | USA | 7 Jan 2021

Passage of Anti-Money Laundering Act of 2020 Includes Comprehensive BSA/AML Reform Measures

On Dec. 31, 2020, as part of the National Defense Authorization Act (“NDAA”), Congress enacted the Anti-Money Laundering Act of 2020 (“AML Act”) and…

Latham & Watkins LLP | USA | 5 Jan 2021

SEC Staff Issues No-Action Relief to Broker-Dealers From Reg BI and Form CRS Obligations Related to Certain Family Offices

The no-action relief applies to family offices with at least US$50 million in total assets (Institutional Family Offices) and requires broker-dealers…

Skadden Arps Slate Meagher & Flom LLP | USA | 21 Dec 2020

Investment Management Retrospective: 2020’s Second Half

In this issue, we provide a summary retrospective of regulatory, litigation and industry developments impacting the investment management sector…

Schulte Roth & Zabel LLP | USA | 14 Dec 2020

SEC Staff Bulletin Highlights AML Risks Associated with Low-Priced Securities Trading in Omnibus Accounts

On Nov. 12, 2020, the staff of the U.S. Securities and Exchange Commission’s (“Commission”) Division of Trading and Markets (“Division Staff”) issued…

Schulte Roth & Zabel LLP | USA | 3 Nov 2020

SEC Touts Twin Goals Served by Form CRS and Reg BI, Advises Investment Advisers to Keep Form CRS Simple

During a roundtable hosted by the SEC on Oct. 26, 2020, Chairman Jay Clayton discussed how Form CRS and Regulation Best Interest (“Reg BI”) together…

Jones Day | USA | 21 Oct 2020

SEC Proposes Conditional Exemption from Broker-Dealer Registration for Finders

In order to facilitate capital formation for small issuers, the SEC has proposed for comment an exemption from the broker registration provisions of…

Hogan Lovells | USA | 14 Oct 2020

SEC proposes narrow broker-dealer registration exemption for finders

The U.S. Securities and Exchange Commission (SEC) proposed a new exemptive order on Wednesday, October 7, which would exempt certain "finders" from…
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