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Published works by Mark Quade

LEX-AR-CYG4DM20 · complete body of work · page 1 of 1 · 15 works

Published works

FinCEN Postpones Effective Date of Investment Adviser Anti-Money Laundering Requirements
Federal Regulatory & Enforcement Insider · August 12, 2025
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FDIC Proposes Rule Amendments to Expand Its Role in Reviewing Depository Institution Holding Company Acquisitions
Federal Regulatory & Enforcement Insider · October 30, 2024
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Two Federal District Courts Stay DOL Fiduciary Rule
Federal Regulatory & Enforcement Insider · September 3, 2024
LEX-WK-CG0CAGAY
SEC Adopts Significant Form and Rule Amendments for the Registration of RILAs and MVAs
Federal Regulatory & Enforcement Insider · July 24, 2024
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SEC Approves Exchange Listings for Spot Ether ETPs
Federal Regulatory & Enforcement Insider · July 24, 2024
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NYSE Proposes to Exempt Registered Closed-End Funds from Annual Shareholder Meeting Requirement
Federal Regulatory & Enforcement Insider · July 24, 2024
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SEC Settles Enforcement Proceedings Against Business for Allegedly Insufficient Internal Controls Relating to Cybersecurity Incident
Federal Regulatory & Enforcement Insider · July 24, 2024
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Fifth Circuit Court of Appeals Vacates SEC’s 2022 Rescission of Certain 2020 Amendments to Proxy Rules
Federal Regulatory & Enforcement Insider · July 23, 2024
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SEC Settles Charges Against Exchange for Alleged Failure to Inform SEC of Cyber Intrusion
Federal Regulatory & Enforcement Insider · June 13, 2024
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SEC Settles Charges Against Dually-Registered Broker-Dealer and Adviser for Alleged Failure to Address Conflicts of Interest
Federal Regulatory & Enforcement Insider · June 13, 2024
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FINRA Proposes Rules Regarding SEC-Mandated Reporting of Securities Lending Transactions
Federal Regulatory & Enforcement Insider · June 13, 2024
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SEC and FinCEN Propose Customer Identification Program Requirements for Investment Advisers
Federal Regulatory & Enforcement Insider · June 13, 2024
LEX-WK-6YZH62HX
SEC Adopts Regulation S-P Amendments to Enhance Protection of Customer Information
Federal Regulatory & Enforcement Insider · June 13, 2024
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SEC Staff’s Latest Marketing Rule Risk Alert Highlights Initial Observations from Examinations
Federal Regulatory & Enforcement Insider · May 17, 2024
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Investment Services Regulatory Update August 2023
Federal Regulatory & Enforcement Insider · August 29, 2023
LEX-WK-9351MMRZ