During FINRA’s 2023 Annual Conference held on May 16-18, 2023, several panels provided insight into how FINRA is currently using CAT data for market surveillance and how FINRA plans to use the data going forward to both...more
Senior officials from the U.S. Securities and Exchange Commission Division of Enforcement convened at a panel as part of the first entirely virtual The SEC Speaks conference to discuss the SEC’s fiscal year 2020 enforcement...more
On April 15, the New Jersey Bureau of Securities (the “Bureau”) issued a rule proposal to establish a uniform fiduciary duty standard applicable to investment advisers, brokers-dealers and their registered representatives and...more