Molly M. White

Blogs: Consumer FinSights, Password Protected, Subject to Inquiry

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California and New York governors plan to expand consumer financial protection

By Joseph J. Reilly, Molly M. White & Neelam Takhar

January 16, 2020

California and New York are taking the lead to expand consumer financial protection, in part to smooth out the ebb and flow of federal policy and enforcement at the CFPB. Within a few days of each other, Governor Gavin Newsom of California and Governor Andrew Cuomo of New York announced proposals to expand regulatory oversight in the financial consumer protection space. A. California On January 10, 2020, California Governor Newsom sent the California Legislature his…

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FINRA 2.0: FINRA Releases Its 2020 Risk Monitoring and Examination Priorities

By Cheryl Haas, Emily P. Gordy, Anitra T. Cassas, Molly M. White & Piper Waldron

January 15, 2020

FINRA’s examination program has undergone its most significant reorganization in decades. As stated in a press release, Oct. 1, 2018, FINRA’s goal for the reorganization was to “consolidate its Examination and Risk Monitoring Programs, integrating three separate programs into a single, unified program to drive more effective oversight and greater consistency, eliminate duplication and create a single point of accountability for the examination of firms.” The new look of the examination program was released…

Consumer FinSights

FINRA 2.0: FINRA Releases Its 2020 Risk Monitoring and Examination Priorities

By Cheryl Haas, Emily P. Gordy, Anitra T. Cassas, Molly M. White & Piper Waldron

January 14, 2020

Subject to Inquiry

FINRA 2.0: FINRA Releases Its 2020 Risk Monitoring and Examination Priorities

By Cheryl Haas, Emily P. Gordy, Anitra T. Cassas, Molly M. White & Piper Waldron

January 14, 2020

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SEC 2020 National Exam Program Examination Priorities

By Cheryl Haas, Emily P. Gordy, Molly M. White & Piper Waldron

January 8, 2020

On January 7, 2020, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released its 2020 examination priorities. OCIE is prioritizing practices, products, and services that it believes present heightened risks to investors or market integrity. The examination priorities are organized around seven themes, many of which build on OCIE’s priorities from prior years: Retail investor protection, including seniors and those saving for retirement; Market infrastructure; Information security; Focus areas relating…

Consumer FinSights

SEC 2020 National Exam Program Examination Priorities

By Anitra T. Cassas, Cheryl Haas, Emily P. Gordy, Molly M. White & Piper Waldron

January 8, 2020

Subject to Inquiry

SEC 2020 National Exam Program Examination Priorities

By Cheryl Haas, Emily P. Gordy, Anitra T. Cassas, Molly M. White & Piper Waldron

January 8, 2020

Subject to Inquiry

The More Things Change, the More They Stay the Same –Joint Statement by FINRA and the SEC on the Customer Protection Rule and Digital Asset Securities

By Molly M. White, Emily P. Gordy & Louis D. Greenstein

July 9, 2019

On Monday, July 8th, FINRA and the SEC took the unusual step of issuing a joint statement on broker-dealer custody of digital asset securities. In doing so, the Staffs of the SEC’s Division of Trading and Markets and of FINRA’s Office of General Counsel made clear that the SEC and FINRA will continue to apply the existing regulatory framework to the rapidly evolving world of digital assets. The joint statement notified market participants that any…

Consumer FinSights

The More Things Change, the More They Stay the Same –Joint Statement by FINRA and the SEC on the Customer Protection Rule and Digital Asset Securities

By Molly M. White, Emily P. Gordy & Louis D. Greenstein

July 9, 2019

Consumer FinSights

SEC 2019 Fintech Forum

By Emily P. Gordy & Molly M. White

June 13, 2019

Members of the SEC’s Strategic Hub for Innovation and Financial Technology (“FinHub”) and experts in Fintech came together on May 31st for the SEC’s public forum focusing on distributed ledger technology and digital assets. As a whole, the panelists grappled with the challenge of regulating an emerging technology that does not fit neatly within the current regulatory regime. The SEC’s stated goal is to regulate without inhibiting innovation. Throughout the Forum, the SEC staff encouraged…

Molly M. White

California and New York governors plan to expand consumer financial protection

FINRA 2.0: FINRA Releases Its 2020 Risk Monitoring and Examination Priorities

FINRA 2.0: FINRA Releases Its 2020 Risk Monitoring and Examination Priorities

FINRA 2.0: FINRA Releases Its 2020 Risk Monitoring and Examination Priorities

SEC 2020 National Exam Program Examination Priorities

SEC 2020 National Exam Program Examination Priorities

SEC 2020 National Exam Program Examination Priorities

The More Things Change, the More They Stay the Same –Joint Statement by FINRA and the SEC on the Customer Protection Rule and Digital Asset Securities

The More Things Change, the More They Stay the Same –Joint Statement by FINRA and the SEC on the Customer Protection Rule and Digital Asset Securities

SEC 2019 Fintech Forum

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