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Results:1-10 of 2,146

Municipal Enforcement, What Direction Under SEC Chairman Clayton?
  • Bracewell LLP
  • USA
  • October 16 2018

Each September brings a flood of Securities and Exchange Commission announcements of enforcement actions as it approaches the September 30 end of its


Legal Alert: Standards of conduct for investment professionals - overlapping protections for broker-dealer retirement customers
  • Eversheds Sutherland (US) LLP
  • USA
  • October 15 2018

The legal standards for broker-dealer firms (BDs) and their representatives, particularly in the retirement market, continue to be in flux. BDs were


Financial Services Update, Vol. 13, Issue 37
  • Winston & Strawn LLP
  • USA
  • October 8 2018

Over the weekend, the Senate held the final confirmation vote for Supreme Court nominee Brett Kavanaugh. Passing the Senate vote by a 50 to 48 margin


The SEC expands its enforcement throughout the digital industry
  • K&L Gates
  • USA
  • September 23 2018

The Securities and Exchange Commission (“SEC” or “Commission”) is ramping up its enforcement efforts in the digital asset industry, expanding its


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


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