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Results:1-10 of 210

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


FINRA Releases 2018 Annual Regulatory and Examinations Priorities
  • Greenberg Traurig LLP
  • USA
  • January 15 2018

As it does every January, FINRA released its annual Regulatory and Examinations Priorities Letter identifying areas of examination focus for the


FINRA Fetes Emerging Blockchain Technology at Industry Conference
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • July 27 2017

Blockchain technology (“Blockchain”), also known as Distributed Ledger Technology, stands poised to transform the future of the financial industry


Open The Pod Bay Doors: Computers Are Here To Take Your Job
  • Ulmer & Berne LLP
  • USA
  • June 16 2017

I read recently that in the not-too-distant future, the practice of law by actual human beings will become a rarity, as computers will take over those


FINRA on Social Media, Digital Communications
  • Manatt Phelps & Phillips LLP
  • USA
  • May 25 2017

The Financial Industry Regulatory Authority (FINRA) took on social media in new guidance that attempts to apply existing rules governing


WannaCry Virus Triggers SEC Security Alert To BDs And Investment Management Firms
  • Ulmer & Berne LLP
  • USA
  • May 19 2017

We are now one week into the worldwide cyberattack known as the WannaCry virus, which targets computers running Microsoft Windows operating systems


Financial Services Update, Vol. 12, Issue 14
  • Winston & Strawn LLP
  • USA
  • April 3 2017

Since January 20, there has been a flurry of activity at the White House affecting the regulation of financial services, including the issuance of


Deeper Dive: Plan for Regulatory Scrutiny in Financial Services Data Security Incidents
  • Baker & Hostetler LLP
  • USA
  • May 16 2016

Financial services industry companies were involved in 18 of the over 300 data security incidents we helped manage in 2015, and reported in our 2016


Financial Services Update, Vol. 11, no. 17
  • Winston & Strawn LLP
  • USA
  • May 2 2016

Momentum has been building recently for the SEC to comprehensively revise the decades-old “accredited investor” standard for natural persons under


Financial Services and social media compliance
  • Bird & Bird
  • USA, Singapore, Hong Kong
  • January 27 2016

More financial services are embracing social media platforms to communicate with and market to customers and prospective customers. The regulatory