The North American Securities Administrators Association (NASAA) recently released a report prepared by its Broker-Dealer Section Committee (Committee) presenting the findings of Phase II (B) of its National Examination...more
On June 23, 2023, the Supreme Court published a slip opinion decision in Coinbase, Inc. v. Bielski, No. 22-105 (U.S. June 23, 2023), which resolved a circuit split over whether a district court must stay proceedings pending...more
No later than November 4, 2022, investment advisers must have implemented measures necessary to comply with the amended Advisers Act Rule 206(4)-1(i.e., the “Marketing Rule”). Recently, the SEC’s Division of Examinations...more
On August 3, 2022, FINRA issued Regulatory Notice 22-18 in response to reports of registered representatives and associated persons forging or falsifying customer signatures, or signatures of colleagues or supervisors,...more