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Published works by Cheryl Haas

LEX-AR-CWRDSAD5 · complete body of work · page 1 of 2 · 29 works

Published works

SEC Issues Risk Alert on Reg BI Deficiencies Identified During Exams
Subject to Inquiry · February 2, 2023
LEX-WK-N6PJ7R6Z
SEC Focus on Private Fund Advisers Continues With the Publication of EXAMS Risk Alert
Subject to Inquiry · January 31, 2022
LEX-WK-HZSAN2G1
SEC Advisory Fees Focus Continues as Reflected in Division of Examinations Risk Alert and Chair Gensler Comments
Subject to Inquiry · November 15, 2021
LEX-WK-5B59SWTT
FINRA’s Important Reminder to Firms—Don’t Forget to Supervise Third-Party Vendors
Subject to Inquiry · August 24, 2021
LEX-WK-JMJD966V
SEC 2021 National Exam Program Examination Priorities
Consumer FinSights · March 4, 2021
LEX-WK-7WCPVX07
SEC 2021 National Exam Program Examination Priorities
Subject to Inquiry · March 4, 2021
LEX-WK-WW5Z30AV
Consolidated Financial Account Reports and Use of Vendors: FINRA Continues Regulatory Scrutiny – What’s Old is New
Subject to Inquiry · February 2, 2021
LEX-WK-PB69SKJP
A Detailed Look At The CFPB’s Historic Approval of Payactiv’s Earned Wage Access (EWA) Program under Regulatory Sandbox Policy
Consumer FinSights · January 8, 2021
LEX-WK-7HB9RTQ2
Another Cop on the Beat? CFP Board Signals Increased Enforcement Focus
Subject to Inquiry · November 30, 2020
LEX-WK-62APVESF
Pitfalls to Avoid in Investment Adviser Compliance Programs: SEC OCIE Risk Alert
Subject to Inquiry · November 24, 2020
LEX-WK-EYAJXYA6
Yet Another Mutual Fund Fee Issue or “Death by a Thousand Cuts”: FINRA Sweep of Rights of Reinstatement Waivers
Subject to Inquiry · November 17, 2020
LEX-WK-5WVRN74Y
COVID-19: Securities Regulators and Industry Associations Issue Coronavirus Guidance and Relief
Subject to Inquiry · March 17, 2020
LEX-WK-H7RY4Q6V
FINRA 2.0: FINRA Releases Its 2020 Risk Monitoring and Examination Priorities
Password Protected · January 15, 2020
LEX-WK-68VRYGEW
FINRA 2.0: FINRA Releases Its 2020 Risk Monitoring and Examination Priorities
Consumer FinSights · January 14, 2020
LEX-WK-4P38VS92
FINRA 2.0: FINRA Releases Its 2020 Risk Monitoring and Examination Priorities
Subject to Inquiry · January 14, 2020
LEX-WK-P63XD44S
SEC 2020 National Exam Program Examination Priorities
Password Protected · January 8, 2020
LEX-WK-XQ1CG206
SEC 2020 National Exam Program Examination Priorities
Consumer FinSights · January 8, 2020
LEX-WK-S9NH71MK
SEC 2020 National Exam Program Examination Priorities
Subject to Inquiry · January 8, 2020
LEX-WK-2B91EX0C
SEC Continues Compensation Disclosure Focus With FAQs and Enforcement
Subject to Inquiry · November 20, 2019
LEX-WK-GHW698YB
Ready or Not, Prepare to Start Answering Questions About Reg BI Compliance
Subject to Inquiry · October 21, 2019
LEX-WK-G2DWMB54
North American Securities Administrators Association (NASAA) Releases Model Cybersecurity Rule
Subject to Inquiry · May 24, 2019
LEX-WK-P8409WKP
North American Securities Administrators Association (NASAA) Releases Model Cybersecurity Rule
Password Protected · May 24, 2019
LEX-WK-G8RN3MYX
D.C. Circuit Vacates SEC Sanctions, Says Negligent Omissions Are Not ‘Willful’ Under Advisers Act
Subject to Inquiry · May 14, 2019
LEX-WK-TN75N7KB
Suspicious Activity Monitoring and Reporting – FINRA Issues Notice Consolidating Governmental and Regulatory “Red Flag” Guidance
Subject to Inquiry · May 10, 2019
LEX-WK-NE86T3TM
SEC OCIE Highlights Potential Deficiencies in Firm Privacy Policies
Subject to Inquiry · April 25, 2019
LEX-WK-JVEAG3ST