Searching Content by Hillel Cohn ordered by Published Date Descending.
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FINRA's 2019 Risk Monitoring And Examination Priorities Letter Highlights Broker-Dealer Online Distribution Platform Activities
FINRA recently published its 2019 Risk Monitoring and Examination Priorities Letter ("Priorities Letter") highlighting topics upon which FINRA will focus in the coming year
United States
31 Jan 2019
Massachusetts Takes On Risky Broker-Dealers That Offer Private Placements
On July 2, 2018, the State of Massachusetts announced that it was investigating 10 broker-dealers that have 15% or more of their agents with current disciplinary incidents and that offer private placements...
United States
11 Jul 2018
SEC Proposes Simplified Relationship Summary For Broker-Dealers And Investment Advisers To Use With Retail Investors
In the third release comprising part of the package of proposed rules and forms related to broker-dealers' and investment advisers' standards of conduct, the Securities and Exchange Commission ...
United States
15 May 2018
The SEC's Standard Of Conduct Proposals Would Raise The Bar On Investment Advisers
According to the Securities and Exchange Commission (SEC or "Commission"), its April 18, 2018 release proposing an interpretation of the standard of conduct for investment advisers ("Adviser Conduct Release") ...
United States
30 Apr 2018
SEC Proposes A New Standard of Care for Broker-Dealers: Regulation Best Interest
For many years, the distinction between investment advisers and broker-dealers was clear: investment advisers were counselors who were expected to provide advice ...
United States
26 Apr 2018
First State Charges Broker-Dealer In Connection With Violations Of DOL Fiduciary Rule
On February 15, 2018, the Enforcement Section of the Massachusetts Securities Division (the "Division") of the Office of the Secretary of the Commonwealth charged a registered broker-dealer ...
United States
21 Feb 2018
Understanding The Standard Of Care For Broker-Dealers And The Department Of Labor's Fiduciary Rule
Until recently, broker-dealers operating in the United States weren't subject to a fiduciary standard when dealing with their retail clients.
United States
12 Jan 2018
The Fiduciary Rule Poll
The US Department of Labor's (DOL) fiduciary standard rule has been befuddling the financial services industry for the past seven years.
United States
5 Oct 2017
DOL Proposes To Defer Full Implementation Of Its Fiduciary Rule Until July 1, 2019
On August 31, 2017, the DOL published a proposal to defer full implementation of the Fiduciary Rule until July 1, 2019.
United States
11 Sep 2017
Does A Proposal For Further Delay In Implementation Of The DOL Fiduciary Rule Suggest Major Changes Are Coming?
On August 9, 2017, the U.S. Department of Labor (DOL) submitted to the Office of Management and Budget (OMB) a proposal to delay until July 1, 2019...
United States
21 Aug 2017
DOL Issues Request For Information Regarding Fiduciary Rule
On June 29, 2017, the Department of Labor ("DOL") issued a Request for Information ("RFI") in connection with its examination of the Final Fiduciary Rule, which was published on April 8, 2016, and became applicable on June 9, 2017.
United States
13 Jul 2017
Implementing The DOL Fiduciary Rule
On June 9, 2017, key provisions of the fiduciary rule adopted by the Department of Labor (DOL) will become applicable for most broker-dealers...
United States
12 Jun 2017
Living With The DOL Fiduciary Rule: Be Prepared For The June 9 Implementation Date
The first phase of the Department of Labor's ("DOL") new fiduciary rule ("Fiduciary Rule") is scheduled to be implemented on June 9, 2017.
United States
31 May 2017
FINRA Retrospective Rule Review: Outside Business Activities And Private Securities Transactions
A retrospective review involves FINRA looking back at a significant rule after a period of time to determine whether it effectively serves its intended objective.
United States
23 May 2017
FINRA Revises Its Sanction Guidelines
In April 2017, FINRA announced that it had revised its sanction guidelines for violations of its rules.
United States
26 Apr 2017
A Trio Of FINRA Notices Focused On Capital Formation Issues
On April 12, 2017, FINRA released three regulatory notices for comment that propose amendments to various FINRA rules affecting capital formation.
United States
25 Apr 2017
DOL Fiduciary Rule Delayed By 60 Days
Late in the day on April 4, 2017, the Department of Labor ("DOL") made publicly available its final rule...
United States
12 Apr 2017
The SEC Issues A Request For Comment On Possible Changes To Industry Guide 3
On March 1st, 2017, the Securities and Exchange Commission ("Commission") issued a request for comment ("RFC") seeking comment on Industry Guide 3, "Statistical Disclosure by Bank Holding Companies"...
United States
16 Mar 2017
President Trump Directs DOL To Review The Fiduciary Rule And Consider Modifications Or Revocation
On February 3, 2017, President Trump directed the Department of Labor ("DOL") to review the fiduciary rule adopted in April 2016 (the "Fiduciary Duty Rule") and consider whether the Fiduciary Duty Rule...
United States
15 Feb 2017
DOL Issues Additional Guidance On Fiduciary Rule
On January 13, 2017, the U.S. Department of Labor ("DOL") issued a second set of guidance on its new fiduciary rules, which are scheduled to become effective on April 10, 2017.
United States
31 Jan 2017
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