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Mayer Brown

SEC Adopts Rules to Require Registration of Certain Persons Engaging in Liquidity-Providing Activities as “Dealers” and...

Mayer Brown on

On February 5, 2024, the U.S. Securities and Exchange Commission (“SEC”) adopted new rules – SEC Rules 3a5-4 and 3a44-2 (collectively, the “Final Rules”) – to further define the phrase “as part of a regular business” used in...more

Stinson LLP

SEC Staff Posts Conflicts of Interest Guidance for Broker-Dealers and Investment Advisers

Stinson LLP on

On August 3, 2022, the Securities and Exchange Commission (SEC) staff published a Q&A-Styled Bulletin focused on conflicts of interest under the Investment Advisers Act of 1940 (Advisers Act) and Regulation Best Interest (Reg...more

Morgan Lewis

Going Green and Digital – Hong Kong Stock Exchange Introduces Paperless Initiatives Amid COVID-19

Morgan Lewis on

All initial public offerings (IPOs) must be paperless from July 5, 2021 and documents put on display by issuers to support listings and transactions must be made available online from October 4, 2021....more

McDermott Will & Emery

[Event] Fintech Seminar 2019: Digital Identity On Blockchain - November 18th, London, England

McDermott Will & Emery on

McDermott Will & Emery host an in-depth discussion and networking opportunity at our FinTech Digital Identities Forum. A panel of industry experts provide an update on international blockchain developments and regulations...more

Robins Kaplan LLP

Robo-Advisors Have the Ability to Meet Fiduciary Standards, but Not All Do

Robins Kaplan LLP on

Have you ever considered investing your money with a robot? A new category of investment advisers known as robo-advisors are automated, low-cost services that provide investment advice via web or mobile platforms....more

Carlton Fields

FINRA Proposes to Ease Regulation of Outside Business Activities

Carlton Fields on

FINRA has proposed a major paradigm shift for regulating outside business activities (OBAs) and private securities transactions (PSTs) of broker-dealer personnel. ...more

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