Our recent client alert covers FINRA’s views on this topic.
The post FINRA Focused on Registered Reps Named as Beneficiaries and Trustees for Customer Accounts appeared first on FinReg + Policy Watch.

Our recent client alert addresses FINRA’s recent guidance on Reg. BI compliance.
The post FINRA on Reg. BI Compliance: There is “No One-Size Fits All” Approach appeared first on FinReg + Policy Watch.

Our recent client alert covers the recent recordkeeping fines from the SEC and CFTC.
 
The post SEC and CFTC Send Powerful Message with $2 Billion in Fines Related to Social Media and Text Recordkeeping Lapses appeared first on FinReg…

Our recent client alert addresses the new SEC “Marketing Rule” for investment advisers and the effect on private fund placement agents. The compliance date is November 4, 2022.
The post New SEC “Marketing Rule” for Investment Advisers: Effect on Private…

Our recent client alert discusses the CFTC’s longstanding practice of settling enforcement cases without seeking admissions of wrongdoing (so-called “no-admit/no-deny” settlements). CFTC Commissioner Romero suggests application of a “HEAT” test (Heightened Enforcement Accountability and Transparency), which would encourage CFTC staff to push for…

Our recent client alert discusses a NASAA investor advisory warning about the potential risks of investing in the metaverse.  NASAA (the North American Securities Administrators Association) is an organization of state and provincial securities regulators in the United States, Canada,…

Our recent client alert discusses a recent SEC staff bulletin covering the standards of conduct for broker-dealer and investment adviser conflicts of interest. The staff bulletin includes 13 Q&As categorized into five different flavors relating to identifying, eliminating, mitigating, and…