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Securities Litigation in the USA
  • Skadden Arps Slate Meagher & Flom LLP
  • USA, Global
  • November 12 2018

A structured guide to securities litigation in the USA


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

A structured guide to fintech in the USA


Financial Services Updates - Volume 13, NO.20 - May 21, 2018
  • Winston & Strawn LLP
  • USA
  • May 21 2018

A week never goes by without some bank regulatory developments, and this last week was no exception. The week began with the realization that, the


Finders and Unregistered Broker-Dealers
  • Venable LLP
  • USA
  • May 14 2018

In the last few years, we have seen a number of important developments in the securities laws related to finders and broker-dealer registration


FINRA amends anti-money laundering rule to comply with FinCEN’s CDD rule
  • Buckley Sandler LLP
  • USA
  • May 8 2018

On May 3, FINRA issued a Regulatory Notice 18-19 amending Rule 3310Anti-Money Laundering (AML) Compliance Program ruleto reflect FinCEN’s final rule


The Investment Lawyer - Covering Legal and Regulatory Issues of Asset Management
  • Wilmer Cutler Pickering Hale and Dorr LLP
  • USA
  • May 4 2018

On February 7, 2018, the Securities and Exchange Commission's (SEC) Office of Compliance Inspections and Examinations (OCIE) released its 2018


SEC Issues Statement on Potentially Unlawful Online Platforms for Trading Digital Assets
  • Dechert LLP
  • USA
  • April 3 2018

The staff of the Divisions of Enforcement and Trading and Markets (collectively, Staff) of the U.S. Securities and Exchange Commission (SEC) on March


Banks, Broker-Dealers and Other Financial Institutions Face May 11 Deadline To Comply with FinCEN’s Customer Due Diligence Rule
  • Baker & Hostetler LLP
  • USA
  • April 2 2018

Six years after the Financial Crimes Enforcement Network (FinCEN) originally proposed its Customer Due Diligence (CDD) Rule, the deadline for


SIFMA C&L 2018 Annual Seminar Summary
  • Greenberg Traurig LLP
  • USA, United Kingdom
  • March 30 2018

The conference began with a one-on-one discussion with SEC Commissioner Clayton. He applauded the agency for its diverse talent and an ability to


FINRA Rules Relating to Financial Exploitation of Seniors Become Effective
  • McGuireWoods LLP
  • USA
  • February 5 2018

Effective Feb. 5, the Financial Industry Regulatory Authority amended Rule 4512 (Customer Account Information) and adopted new Rule 2165 (Financial