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Results:1-10 of 52

One-Two-Three Punch: SEC and FINRA Announce Actions Against Unregistered Broker, Digital Asset Manager and FINRA Registered Person
  • Sidley Austin LLP
  • USA
  • September 18 2018

On September 11, the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) separately announced three “first of


One-Two-Three Punch: SEC and FINRA Announce Actions Against Unregistered Broker, Digital Asset Manager and FINRA Registered Person
  • Sidley Austin LLP
  • USA
  • September 18 2018

On September 11, the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) separately announced three “first of


U.S. Financial Industry Regulatory Authority Proposes New Rule to Address Outside Business Activities of Registered Persons
  • Sidley Austin LLP
  • USA
  • March 12 2018

On February 26, 2018, the U.S. Financial Industry Regulatory Authority (FINRA) proposed new FINRA Rule 3290 (the Proposed Rule) that will greatly


Cybersecurity Identified as an SEC OCIE Examination Priority for 2018
  • Sidley Austin LLP
  • USA
  • February 19 2018

On February 7, 2018, the SEC’s Office of Compliance Inspections and Examinations (OCIE) released its 2018 National Exam Program Examination Priorities


SEC Office of Compliance Inspections and Examinations Publishes 2018 Exam Priorities
  • Sidley Austin LLP
  • USA
  • February 13 2018

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


Office of Compliance Inspections and Examinations Publishes 2018 Exam Priorities
  • Sidley Austin 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 (the Commission)


Financial Industry Regulatory Authority Issues Its 2018 Examination Priorities
  • Sidley Austin LLP
  • USA
  • January 16 2018

On January 8, the Financial Industry Regulatory Authority (FINRA) released its annual Regulatory and Examination Priorities Letter (Letter) to


Financial Industry Regulatory Authority Issues Report on Recent Examination Findings
  • Sidley Austin LLP
  • USA
  • January 4 2018

On Dec. 6, the Financial Industry Regulatory Authority (FINRA) published its "Report on FINRA Examination Findings" (Report). The Report highlights


SEC Issues “WannaCry” Ransomware Alert to Broker-Dealers and Investment Companies
  • Sidley Austin LLP
  • USA
  • May 19 2017

On May 17, 2017, the SEC’s Office of Compliance Inspections and Enforcement (OCIE) issued a cybersecurity alert to the securities firms it regulates


Derivatives Quarterly Newsletter: 1st Quarter 2017
  • Sidley Austin LLP
  • USA, Global, Hong Kong
  • May 16 2017

On January 5, 2017, the CFTC approved the NFA's amendment to NFA Compliance Rule 2-36, which requires forex dealer members to provide customers with