Executive Summary -
The Morgan Lewis Year in Review highlights key US Securities and Exchange Commission (the SEC or the Commission) and Financial Industry Regulatory Authority (FINRA) enforcement developments and cases...more
Executive Summary -
The Morgan Lewis Year in Review highlights key US Securities and Exchange Commission (the SEC or the Commission) and Financial Industry Regulatory Authority (FINRA) enforcement developments and...more
3/1/2017
/ Anti-Money Laundering ,
Broker-Dealer ,
Conflicts of Interest ,
Custody Rule ,
Customer Protection Rule ,
Data Security ,
Disgorgement ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Foreign Corrupt Practices Act (FCPA) ,
Investment Adviser ,
Investment Companies ,
Market Access Rule ,
Mutual Funds ,
Popular ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Senior Investors ,
Short Sales ,
Spoofing ,
Whistleblowers
SEC approves FINRA rule designed to protect seniors and other specified adults from financial exploitation.
The Securities and Exchange Commission (SEC) has approved a new rule proposed by the Financial Industry...more
The Overview addresses, among other things, categories of information and other factors that firms should consider when assessing materiality of prospective business initiatives....more
This Outline highlights key U.S. Securities and Exchange Commission (the “SEC” or the “Commission”) and Financial Industry Regulatory Authority (“FINRA”) enforcement developments and cases regarding broker dealers.*
The...more
Table of Contents:
Executive Summary; U.S. Securities and Exchange Commission; and Financial Industry Regulatory Authority.
Executive Summary -
This Outline highlights key U.S. Securities and Exchange...more
In 2012, the SEC and FINRA continued their vigorous enforcement of the securities laws, rules, and regulations—with cases against broker-dealers, investment advisers, and investment companies accounting for 38% of the SEC...more