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Mayer Brown Free Writings + Perspectives

SEC Investor Advocate Report on Objectives

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The Securities and Exchange Commission’s Office of the Investor Advocate recently issued its fiscal year 2025 Report on Objectives. The Report is one of two annual reports required to be filed by the Investor Advocate with...more

BakerHostetler

FINRA Signals Expanded Enforcement Priorities in Annual Report

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The 2023 Report on FINRA’s Examination and Risk Monitoring Program was published on Jan. 10, 2023. In a statement accompanying the Report, Greg Ruppert, executive vice president of FINRA’s Member Supervision organization,...more

UB Greensfelder LLP

LPL AWC Proves, Once Again, That Big Firms Can Buy Their Way Out Of Trouble That Would Kill Small Firms

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LPL may be the biggest BD in the country, with 21,500 reps operating out of almost 13,000 branch offices. Heaven knows how much money it brings in every year, but, goodness, it must be a lot. And good thing, too, given how...more

Foley Hoag LLP

SEC Brings First Enforcement Action Against Issuer for Disclosures About Financial Effects of COVID-19

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On December 4, 2020, the SEC brought its first case charging a public company, The Cheesecake Factory, with making misleading disclosures about the effects of COVID-19 on its business operations and financial condition. The...more

Troutman Pepper

Highlights: SEC Division of Enforcement 2020 Annual Report

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Who Needs to Know - Public companies and their directors and officers as well as brokers, dealers, investment advisors, investment companies and their associated persons....more

Dorsey & Whitney LLP

SEC Enforcement Statistics From Cornerstone and NYU

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Earlier this year the SEC’s Enforcement Division published its annual report, reviewing FY 2019 which ended on September 30, 2019. As in the past, the Report reviewed not just the statistics from the year but also the entire...more

Dechert LLP

Lessons from FINRA’s 2019 Report on Examination Findings and Observations

Dechert LLP on

The Financial Industry Regulatory Authority published its 2019 Report on Examination Findings and Observations (2019 Report) on October 16, 2019. This marks the third annual report of FINRA findings, but in a departure from...more

Proskauer Rose LLP

The ERISA Litigation Newsletter - August 2016

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Editor's Overview - This month’s newsletter features an article on the DOL’s recently published interim final rule that increases penalties for notice and disclosure violations, which generally became effective on...more

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