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Guardians of the (Compliance) Galaxy: Lessons from SEC and FINRA Enforcement
  • Eversheds Sutherland (US) LLP
  • USA
  • December 12 2018

While the heroes of previous generations of moviegoers included Will Kane in the ‘50s, Atticus Finch in the ‘60s, Rocky Balboa in the ‘70s, Indiana

The Real Lesson From FINRA’s 2018 Exam Findings Report
  • Ulmer & Berne LLP
  • USA
  • December 11 2018

On Friday last week, FINRA released a report discussing the findings from its 2018 exams, providing what it described as “selected observations” that

Financial Services Update, Vol. 13, Issue 45
  • Winston & Strawn LLP
  • USA
  • December 10 2018

When the news came last week that former President George Herbert Walker Bush had passed away, commentators began to characterize the legacy of our

FINRA Proposes Rule Change Relating to Rule 4512 (Customer Account Information)
  • Katten Muchin Rosenman LLP
  • USA
  • December 7 2018

On November 28, the Financial Industry Regulatory Authority filed a proposed change to Rule 4512(a)(3) (Customer Account Information) with the

Digital Asset Trading Platforms - Passive Electronic Bulletin Boards as a Possible Exemption from Exchange Registration Requirement
  • Winston & Strawn LLP
  • USA
  • December 5 2018

Recently, the Securities and Exchange Commission (the “Commission”) issued an enforcement order finding that the founder of EtherDelta had operated an

SEC Staff Releases Statement on Digital Asset Securities Issuance and Trading and Provides Guidance on Path Forward for Resolving Unregistered Initial Coin Offerings
  • Dechert LLP
  • USA
  • December 4 2018

The U.S. Securities and Exchange Commission announced two settled enforcement actions on November 16, 2018, imposing registration requirements and

FINRA proposes permitting the use of electronic signatures for certain accounts
  • Buckley Sandler LLP
  • USA
  • December 4 2018

On November 28, the Financial Industry Regulatory Authority (FINRA) filed a proposed rule change with the SEC to amend Paragraph (a)(3) of FINRA Rule

Financial Services Update, Vol. 13, Issue 44
  • Winston & Strawn LLP
  • USA
  • December 3 2018

In what appears to be a setback to the SEC’s ongoing efforts to bring the field of Blockchain digital assets under its regulatory purview, a

Adoption Of Uniform Fiduciary Standard Debated At Two Public Hearings Held By The New Jersey Bureau Of Securities
  • Bressler, Amery & Ross PC
  • USA
  • November 29 2018

Daniel S. Strashun Related Services Insurance Securities Regulatory Defense and Compliance Following the October 15, 2018 issuance of a Notice of

Financial Services Update, Vol. 13, Issue 43
  • Winston & Strawn LLP
  • USA, United Kingdom, European Union
  • November 19 2018

The topic of Brexit has been the subject of a high degree of anxiety within the financial services industry. In a potentially positive development, on