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1
SEC Enforcement Update
On September 6, 2019, Co-Director of Enforcement Steven Peikin of the SEC delivered a speech at the Securities Conference 2019. During this address, he discussed whether the SEC's Division
United States
18 Oct 2019
2
SEC Summarizes Regulation Best Interest And Form CRS Relationship Summary
If you were somewhat put off by the prospect of reading over 1,000 pages of adopting releases for Regulation Best Interest and the Form CRS relationship summary and amendments to Form ADV, you are now
United States
18 Oct 2019
3
FINRA Sanctions Representative And Member For Unsuitable Recommendation Of Financial Product
A general securities representative settled Financial Industry Regulatory Authority ("FINRA") charges for advising customers to purchase Leveraged and Inverse Exchange Traded Funds
United States
18 Oct 2019
4
Attorneys General Sue The SEC To Invalidate Regulation Best Interest
The Attorneys General of seven states – New York, California, Connecticut, Delaware, Maine, New Mexico, Oregon – and the District of Columbia
United States
18 Oct 2019
5
FINRA Updates Rule 2232 FAQs
FINRA recently updated its frequently asked questions about Rule 2232, which requires that FINRA members disclose in their confirms to retail customers their markups
United States
18 Oct 2019
6
FINRA: Keep Advertising Simple
In Regulatory Notice 19-31 (the "Notice"), FINRA focuses on keeping marketing materials fair and balanced, as required by FINRA Rules 2210 – 2220, but also keeping those materials short and sweet.
United States
18 Oct 2019
7
Frequent Principal And Trading Agency Cross Transactions Compliance Issues
Section 206(3) makes it unlawful, with certain limited exceptions, for an investment adviser to directly sell or purchase securities to and from clients or to act as a broker for a third party effecting
United States
17 Oct 2019
8
The SEC's Regulation S-P In The Age Of Cybersecurity
Bylined article by Financial Services Regulatory & Enforcement partner Jeffrey Taft and associates Matthew Bizanz and Leslie Cruz.
United States
16 Oct 2019
9
Electronic Discovery & Information Governance - Tip Of The Month: Strategies For The Preservation And Production Of Audio Recordings (September 30, 2019)
A large manufacturer of consumer products invests in new technology to record, store and analyze customer service calls.
United States
15 Oct 2019
10
Avoiding Mistakes With Record Dates And Ex-Dates
The relationship between record dates and ex-dividend dates (or "ex-dates") for dividends is sometimes unclear to market participants, ...
United States
11 Oct 2019
11
Testing The Waters For All – New Rule 163B Expands TTW To All Issuers
On September 26, 2019, the US Securities and Exchange Commission (Commission) extended the ability to test the waters to all issuers by adopting the highly anticipated new Rule ...
United States
9 Oct 2019
12
Market Trends 2018/19: Pay Ratio Disclosure
This market trends article discusses the Securities and Exchange Commission's (SEC's) pay ratio rulemaking, which was mandated by the Dodd-Frank Wall Street Reform...
United States
7 Oct 2019
13
Proposed Changes To Rule 15c2-11
One of the Securities and Exchange Commission's priorities under Chair Clayton's leadership has been protection of retail investors, including through rigorous enforcement of microcap fraud
United States
7 Oct 2019
14
Establishing An Issuer Rule 10b5-1 Plan With An ATM Offering
This article summarizes key questions that an issuer may raise in connection with deciding whether to establish a Rule 10b51 trading plan in conjunction with the issuer's at-the-market offering program.
United States
3 Oct 2019
15
Fallback Fast Forward: Pace Of Syndicated Loan Adoption Of ARRC LIBOR Fallback Language Accelerates
In the three months since our Legal Update of June 20, 2019, our prediction about the adoption of LIBOR fallbacks consistent with the recommendations of the Fed's Alternative Reference Rates Committee has proven correct.
United States
1 Oct 2019
16
SEC Proposes Update Of Statistical Disclosures For Bank And Savings And Loan Registrants, Replacing Industry Guide 3
On September 17, 2019, the Securities and Exchange Commission (SEC) proposed rules to update the statistical disclosures that bank and savings and loan registrants provide to investors.
United States
27 Sep 2019
17
Upcoming SEC Open Meeting (September 27,2019)
On September 25, 2019, the Securities and Exchange Commission will hold an open meeting to consider a number of topics
United States
27 Sep 2019
18
House Financial Services Committee And House Of Representatives Address Capital Formation Related Bills
This past week, the House Financial Services Committee considered and passed a few bills that would, if passed by the House, result in changes to the securities laws.
United States
26 Sep 2019
19
SEC Proposes Rules To Update Statistical Disclosures For Banking Registrants, Replacing Industry Guide 3
On September 17, 2019, the Securities and Exchange Commission proposed rules to update the statistical disclosures that banks and loan registrants provide to investors
United States
24 Sep 2019
20
Preparing 2019 Registration Statements And Annual Reports: What Foreign Private Issuers And Their Counsel Need To Know
In this article published in The Review of Securities & Commodities Regulation, we discuss the implications of the SEC's recent actions to modernize and simplify disclosure requirements
United States
16 Sep 2019
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