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Results:11-20 of 4,264

FINRA Reminds Members of Obligations When Relying on Third-Party Recordkeeping Services
  • Katten Muchin Rosenman LLP
  • USA
  • September 23 2018

The Financial Industry Regulatory Authority issued guidance paralleling recent guidance issued by staff of the Securities and Exchange Commission that


State Activity in the Wake of The DOL Fiduciary Rule
  • Bressler, Amery & Ross PC
  • USA
  • September 21 2018

The New Jersey Legislature has pending bills which would require Non-Fiduciary Disclosures. Both bills were introduced in


Principles Guiding FINRA Enforcement Action
  • Latham & Watkins LLP
  • USA
  • September 20 2018

FINRA Enforcement head Susan Schroeder offers member firms clarity on arguments most likely to move FINRA to decline an Enforcement action. The


Be Careful Not to Engage in Fraudulent Non-Transfers
  • Greenspoon Marder LLP
  • USA
  • September 20 2018

We have always recommended that no one participate in any fraudulent transfers (i.e., transfers made with any intent to hinder or delay a creditor)


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


Recommending Rollovers in the Evolving Regulatory Environment (Part 2)
  • Drinker Biddle & Reath LLP
  • USA
  • September 18 2018

In our first post on this topic, we discussed the existing rules that apply to rollover recommendations by broker-dealers and RIAs. This discussion


Legal alert: A week of “firsts” in cryptocurrency prosecution
  • Eversheds Sutherland (US) LLP
  • USA
  • September 17 2018

Last week, on September 11, 2018, a number of "firsts" occurred in the prosecution of cryptocurrency-related activities. The Securities and Exchange


A week of “firsts” in cryptocurrency prosecution
  • Eversheds Sutherland (US) LLP
  • USA
  • September 17 2018

On September 11, 2018, a number of “firsts” occurred in the prosecution of cryptocurrency-related activities at the Securities and Exchange Commission


Third Circuit Makes Clear That Plan Releases Can Extend To Post-Confirmation Acts
  • Squire Patton Boggs
  • USA
  • September 17 2018

We have discussed plan releases in prior posts. Oftentimes, disputes involving plan releases revolve around whether, and in what contexts, third-party