On February 26, 2021, the US Securities and Exchange Commission’s (“SEC”) Division of Examinations published a risk alert in connection with the offer, sale, and trading of digital assets that are securities. The risk alert...more
On November 2, 2020, the U.S. Securities and Exchange Commission (“SEC”) Division of Enforcement staff published its annual enforcement report for fiscal year 2020. This has been an unprecedented year, including for the SEC’s...more
On March 9, 2020, the Financial Industry Regulatory Authority (FINRA) published Regulatory Notice 20-08 (Notice) with respect to business continuity planning in connection with the recent coronavirus (COVID-19) outbreak. ...more
3/12/2020
/ Best Practices ,
Broker-Dealer ,
Business Continuity Plans ,
China ,
Coronavirus/COVID-19 ,
Crisis Management ,
Cybersecurity ,
Emergency Management Plans ,
Financial Industry Regulatory Authority (FINRA) ,
Flexible Work Arrangements ,
Forced Leave of Absences ,
Infectious Diseases ,
Military Service Members ,
National Guard ,
Public Health ,
Regulatory Requirements ,
Relief Measures ,
Required Forms ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Telecommuting