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3,225 results found


Greenberg Traurig LLP | USA | 10 Apr 2019

When Can Futures Commission Merchants and Broker-Dealers Be Deemed Banks?

On March 21, 2019, an Illinois appellate court, for the first time, addressed the liability of a futures commission merchant (FCM) or broker-dealer


Katten Muchin Rosenman LLP | USA | 22 Mar 2019

FINRA Reminds Firms of Obligations Under Rule 15c2-11(a)(4)

On March 20, the Financial Industry Regulatory Authority, Inc. (FINRA) released Regulatory Notice 19-09, which reminds members of their obligations


Hunton Andrews Kurth LLP | USA | 20 Mar 2019

Colorado Enacts Digital Token Act

The latest state to confront the utility token issue, Colorado, recently enacted the Digital Token Act (the Act). The Act amends the provisions of the


Jones Day | USA | 18 Mar 2019

SEC and FINRA Broker-Dealer Exam Priorities for 2019: How to Prepare

Earlier this year, the Financial Industry Regulatory Authority released its 2019 Annual Risk Monitoring and Examination Priorities Letter. These


Thompson Hine LLP | USA | 25 Feb 2019

FINRA Guidance Permits Pre-Inception Index Performance Data in Fund Communications with Institutional Investors

FINRA recently issued an interpretive letter that permits the use of PIP data in institutional communications concerning passively managed


Drinker Biddle & Reath LLP | USA | 6 Feb 2019

Nevada Proposes Fiduciary Regulations

Nevada has released a proposed regulation to regulate broker-dealers and their advisors as fiduciaries. In 2017, the state amended its securities law


Katten Muchin Rosenman LLP | USA | 3 Feb 2019

FINRA Finds High Percentage of Order Routing Through Affiliated ATSs Lower Order Fill Rate Higher Execution Costs

The Financial Industry Regulatory Authority issued a research report indicating that a relatively high percentage of orders sent by broker-dealers


Vedder Price PC | USA | 31 Jan 2019

Division of Trading and Markets Extends AML No-Action Letter Allowing Broker-Dealers to Rely on Investment Advisers

On December 12, 2018, the staff of the SEC's Division of Trading and Markets issued a no-action letter to SIFMA that extended existing no-action


Eversheds Sutherland (US) LLP | USA | 28 Jan 2019

The far reach of state law - Nevada proposes fiduciary duty regulations for broker-dealers and investment advisers

Under Nevada law, financial planners owe a fiduciary duty to their clients.1 In accordance with this duty, a financial planner must disclose, at the


DLA Piper | USA, Global | 24 Jan 2019

Fintech regulation in the USA

A structured guide to fintech regulation in the USA

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