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FINRA fines broker-dealer firm for AML program deficiencies
  • Buckley Sandler LLP
  • USA
  • November 2 2018

On October 29, the Financial Industry Regulatory Authority (FINRA) entered into a Letter of Acceptance, Waiver, and Consent (AWC), fining a

The SEC Brings Its First Enforcement Action under the Identity Theft Red Flags Rule
  • K&L Gates
  • USA
  • November 1 2018

On September 26, 2018, the Securities and Exchange Commission (SEC) settled claims that Voya Financial Advisors, Inc. (VFA) failed to adequately

Fintech regulation in the USA
  • DLA Piper
  • USA, Global
  • October 22 2018

A structured guide to fintech regulation in the USA

Clarifying the Single Issuer Exemption for Broker-Dealers
  • Kilpatrick Townsend & Stockton LLP
  • USA
  • October 19 2018

On September 20th, the SEC released a proposed rule amending Rule 17a-5 of the Securities Exchange Act of 1934, as amended ("Exchange Act").1 Under

SEC Charges “ICO Superstore” as Unregistered Broker-Dealer
  • Latham & Watkins LLP
  • USA
  • October 19 2018

Latham & Watkins operates worldwide as a limited liability partnership organized under the laws of the State of Delaware (USA) with affiliated limited

Broker-Dealer and Investment Adviser Agrees to Settle SEC Enforcement Action Arising From a Data Security Incident
  • Baker & Hostetler LLP
  • USA
  • October 18 2018

The U.S. Securities and Exchange Commission (SEC) recently announced a consent order settling an enforcement action brought by the SEC against Voya

Protecting Vulnerable Investors from Financial Exploitation: What Every Broker-Dealer Needs to Know
  • Bressler, Amery & Ross PC
  • USA
  • October 17 2018

As baby boomers and their parents advance in age, legal protections for senior investors are improving and changing rapidly. What do broker-dealers

Legal Alert: Standards of conduct for investment professionals - overlapping protections for broker-dealer retirement customers
  • Eversheds Sutherland (US) LLP
  • USA
  • October 15 2018

The legal standards for broker-dealer firms (BDs) and their representatives, particularly in the retirement market, continue to be in flux. BDs were

NJ Bureau of Securities to Propose a Regulation Establishing a Uniform Fiduciary Standard for All NJ Investment Professionals
  • Bressler, Amery & Ross PC
  • USA
  • October 11 2018

In the wake of the demise of the Department of Labor’s (“DOL”) fiduciary rule, New Jersey is going forward with a plan...

SEC Fines Broker-Dealer $1 Million in First Enforcement Action Under Identity Theft Rule
  • Hunton Andrews Kurth LLP
  • USA
  • October 5 2018

On September 26, 2018, the SEC announced a settlement with Voya Financial Advisers, Inc. (“Voya”), a registered investment advisor and broker-dealer