Legal Alert | Wiretap Laws in the United States
The ‘Long Arm’ of CIPA and Its Newfound Pen-Trap Claims
Episode 298 -- Electronics Communications Risks and Ephemeral Messaging
Compliant Business Communications Through Messaging Apps
Digital Issues for Individuals Working at Home (Digital Planning Podcast)
Employment Law Now IV-54- A Guest Discussion on 3 Significant Government Decisions
Discussion of PA’s Revised Uniform Fiduciary Access to Digital Assets Act
Podcast: Keeping Up with Recent Changes and Trends in Private Fund Regulation
[WEBINAR] The Public Records Act - Taming the Email Tiger
Over the last several years, the Securities and Exchange Commission (“SEC”) has been laser-focused on the use of so-called “off-channel communications” in the financial services industry. On the theory that employees’ use of...more
On February 9, 2024, the Securities and Exchange Commission (SEC) announced charges against five broker-dealers, seven dually registered broker-dealers and investment advisers, and four affiliated investment advisers for...more
Several years before announcing the first “off-channel” communications enforcement action, the SEC and FINRA cautioned broker-dealers and investment advisers about problematic record-keeping practices involving the use of...more
The settlements announced by the SEC and CFTC on Monday are a continuation of the regulators’ focus on off-channel communications by employees of registered entities....more
As a number of recent headlines demonstrate, the U.S. Securities and Exchange Commission (SEC) and other regulators have fined and penalized employers and employees in the financial services industry for non-compliance with...more
Take one look at your phone and count how many different message apps you have. WhatsApp, Facebook Messenger, Snapchat, Telegram, Signal, iMessage. Those are just some of the most popular messaging applications available...more
In the last few weeks, several major U.S. financial institutions have disclosed to investors that the United States Securities and Exchange Commission (“SEC”) and/or the Commodities Future Trading Commission (“CFTC”) are...more
On September 23, 2020, the U.S. Securities and Exchange Commission (“SEC”) entered an Order Instituting Administrative and Cease and Desist Proceedings (“Order”) against a broker-dealer, JonesTrading Institutional Services,...more
If you’re in the financial services industry, you’ve got a lot on your plate. You’re researching investments, advising customers, marketing your business, and maintaining strict compliance with a veritable alphabet soup of...more
The Financial Industry Regulatory Authority's (FINRA) constantly updated record of disciplinary actions contains a mixed bag of run-of-the-mill infractions, unethical behavior, and large-scale corporate misconduct and...more
The Colorado Division of Securities (Division) has published final cybersecurity rules applicable to broker-dealers and investment advisers. The Colorado Attorney General's office has 20 days to write an opinion on the rules,...more
The Colorado Division of Securities recently issued proposed rules directed at establishing cybersecurity requirements for broker-dealers and investment advisers. The proposed rules were issued only a month after New York...more