Piper Waldron

Piper's practice focuses on complex commercial litigation. Piper has experience defending corporate, insurance, and non-profit clients in all phases of complex multi-party litigation, including drafting and arguing dispositive motions, conducting discovery, taking and defending depositions, and participating in mediation.

Firm/Organization: McGuireWoods LLP

Blogs: Consumer FinSights, Password Protected, Subject to Inquiry

Latest Articles

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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

Password Protected

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