We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search

Clear all

Refine your search

Tags

55 results found

Article

Drinker Biddle & Reath LLP | USA | 6 Aug 2019

Waive or Pay: FINRA Reaches Final Settlements in Its Mutual Fund Waiver Initiative

Justice Brandeis once famously said that sunlight is the best disinfectant. Perhaps, but in FINRA’s purview, settlements might be better. Along these

Article

Drinker Biddle & Reath LLP | USA | 23 Jul 2019

An Imperfect Storm(s): FINRA Bars Compliance Personnel for Falsifying Branch Audit Data

It often is said that “it’s not the crime, but the cover-up” that is the most damaging to someone alleged to have committed misconduct. In a recent

Article

Drinker Biddle & Reath LLP | USA | 28 May 2019

Best Interest Standard of Care for Advisors 8

I am writing two series of articles that together are called “The Bests.” One is about Best Practices for Plan Sponsors and the other is about the

Article

Drinker Biddle & Reath LLP | USA | 10 Apr 2019

The DOL’s Temporary Enforcement Policy: Potential Traps for the Unwary

The overturning of the DOL's Fiduciary Rule by the Fifth Circuit last year had two impacts: first, the definition of "fiduciary" for investment

Article

Drinker Biddle & Reath LLP | USA, Canada | 21 Dec 2018

SEC Proposes Rule and Rule Amendments For Fund of Funds

At an open meeting on December 19, 2018, the Securities and Exchange Commission (SEC) proposed a new rule and rule amendments to streamline and

Article

Drinker Biddle & Reath LLP | USA | 14 Dec 2018

A Summary of FINRA’s 2018 Report on Examination Findings

Last week, FINRA issued its 2018 “Report on FINRA Examination Findings.” This report tracks FINRA’s 2018 Priorities letter, which this blog has

Article

Drinker Biddle & Reath LLP | USA | 22 Oct 2018

Recommending Rollovers in the Evolving Regulatory Environment (Part 3)

In Parts 1 and 2 of this post, we talked about the current and proposed rules applicable to rollover recommendations by broker-dealers and RIAs. Part

Article

Drinker Biddle & Reath LLP | USA | 18 Sep 2018

Recommending Rollovers in the Evolving Regulatory Environment (Part 2)

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

Article

Drinker Biddle & Reath LLP | USA | 24 Jul 2018

FINRA Regulatory Notice Encourages Member Firms to Voluntarily Provide Information on Their Digital Asset Activities

FINRA recently issued a regulatory notice encouraging member firms to provide notification if either the firms or their associated persons or

Article

Drinker Biddle & Reath LLP | USA | 3 Jul 2018

Make Senior Investing Safe Again? President Trump Signs Into Law the Senior Safe Act in an Attempt to Curb Financial Abuse of Seniors

On May 24, 2018, President Trump signed into law the Senior Safe Act, which is aimed at curbing elder financial abuse. The Senior Safe Act is the

Previous page 1 2 3 4 5 6