Workplace Violence in Health Care: Dissecting the Legal Landscape and Implications for Employers – Diagnosing Health Care
Keeping up with all the new regulations
PODCAST: Williams Mullen's Gavels & Gowns - What’s Next in VA Higher Education? An Interview Featuring Chris Peace, President of CICV
Podcast - The FTC's Regulation of Social Media Advertising
Clocking in with PilieroMazza: PilieroMazza Launches Labor & Employment Podcast for GovCons
State AG Pulse | Wrangling Acronyms: SAGs, ORC and AI
NCAA President Charlie Baker’s NIL Comments – Highway to NIL
Consumer Finance Monitor Podcast Episode: Recent Federal and State Debt Collection Developments
JONES DAY TALKS®: The Rise of AI Regs: Approaches from the European Union and United States
Hinshaw Insurance Law TV – The Future of ESG
Webinar Recording – 2023 Preview for Privacy and Data Security
On-Demand Webinar | California Employment Law Update: Tips for Staying Compliant in 2023
Hot Topics in International Trade with Braumiller Law Group: Customs Broker Modernization Regulations 19 CFR 111
The Justice Insiders Podcast: Mutiny on the Bug Bounty
Stoel Rives | Deeply Rooted Podcast S2E3: The Intersection Between Alcohol and Agriculture with Jess Thomas, co-founder of SOGOOD Saké
New Regulation: Statutes, Pillars, and the Build Back Better Act
Podcast: Interoperability - the Role of Health Information Exchanges - Diagnosing Health Care
2BInformed: Engaging with EPA, OSHA’s New Regulation, and Asbestos
On-Demand Webinar | The New NEPA Regulations: A Practical Guide to What You Need to Know
Compliance Perspectives: Compliance Challenges in India
If you study the rules of the various standard-setters, a pattern emerges about their expectations for the process for developing a best interest recommendation. The DOL and SEC are consistent in that regard, while the NAIC...more
On February 13, 2024, FinCEN issued a Notice of Proposed Rulemaking (NPRM) to deter criminals and foreign adversaries who seek to potentially compromise the U.S. financial system and assets through investment advisors. If...more
The Securities and Exchange Commission (the “SEC”) adopted a new short position and short activity disclosure requirement under Rule 13f-2 of the Securities Exchange Act of 1934 (the “Exchange Act”). Under Rule 13f-2, an...more
Recent client alerts have provided an overview of the new “private fund rules” adopted in late August by the U.S. Securities and Exchange Commission (SEC). These rules apply, subject to limited exceptions and carveouts, to...more
The proposal would codify for the first time the federal-level best execution standard for brokers and related obligations. New Regulation Best Execution would result in a pivot from what has been a principles-based approach...more
In recent years there has been a spate of legislation and rules passed to protect senior investors. Similarly, observers of FINRA’s and the SEC’s annual priorities will, of course, have noticed both bodies’ inclusion of elder...more
Recap of FINRA Rule 1017(a)(7) - If you recall from our May 11th alert, effective September 1, 2021, FINRA Rule 1017(a)(7) will require a member firm to file a CMA when a natural person seeks to become an owner, control...more
On October 28, the Securities and Exchange Commission (the “SEC”) adopted Rule 18f-4 (the “Rule”) under the Investment Company Act of 1940 (the “1940 Act”) and amended related rules designed to provide a modernized,...more
Last year, for the first time, FINRA produced a statistical report designed to provide some perspective on the firms that comprise its membership. I blogged about it, and concluded at the time that the report basically...more
Last week, a Canada-based social media company was sued by the Securities and Exchange Commission for purportedly conducting an unregistered securities offering to United States persons in connection with an initial coin...more
Yesterday, the Securities and Exchange Commission approved Regulation Best Interest. According to the SEC's announcement, this new regulation will require brokers "to act in the best interest of a retail customer when making...more
On October 26, 2017, David F. Johnson presented “Legislative Update Impacting Fiduciaries,” to the Texas Bankers Association’s Advanced Trust & Portfolio Management Forum in San Antonio, Texas. This presentation discussed new...more
The U.S. Securities and Exchange Commission (“SEC”) recently approved a Financial Industry Regulatory Authority (“FINRA”) proposal to adopt a new regime for the regulation of electing broker-dealer firms that meet the...more
Recently, the SEC approved FINRA’s proposed new Rule 3110(e) relating to background investigations of registered persons. FINRA Rule 3110(e), which replaces NASD Rule 3010(e) and goes into effect on July 1, 2015, streamlines...more