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January 15, 2020

Governor Murphy Provides Seniors With Added Protection Against Financial Exploitation Inbox x

Governor Murphy has signed into law the “Safeguarding Against Financial Exploitation Act” (the Act) previously introduced on February 25, 2019 as Assembly Bill #5091. The Act provides […]
December 5, 2019

Four Tips for Broker-Dealers to Effectively Navigate the Enhanced Standard of Conduct Under Reg. BI

On June 5, 2019, the SEC voted to adopt Rule 15I-1, known as “Regulation Best Interest” or “Reg. BI,” under the Securities Exchange Act of 1934. […]
November 3, 2019

November 1, 2019 A. Katherine Curtis and Laura T. Ruiz Rivera Reg BI, Crypto and Cannabis – Key Takeaways from the SIFMA Compliance and Legal Society’s 2019 New York Regional Seminar

At the 2019 SIFMA Compliance and Legal Society’s New York Regional Seminar, industry panelists along with senior officials from the SEC and FINRA addressed a range […]
October 6, 2019

FINRA Approves Creation of Special Roster of Arbitrators for Expungement Cases

FINRA has been virtually silent since announcing plans for a major overhaul of the expungement process in its Notice to Members 17-42 in December 2017. This […]
September 2, 2019

FINRA Increases Emphasis on Protection of Senior and Vulnerable Investors from Financial Exploitation

In response to the recent increase in financial exploitation of seniors and other at risk investors, FINRA recently announced that it is conducting a review of […]
August 16, 2019

The SEC Examined 50+ RIAs Who Are Employing or Have Employed Individuals with a History of Disciplinary Issues and This is What They Found…

The U.S. Securities and Exchange Commission’s (SEC) Office of Compliance and Inspections (OCIE) performed over 50 examinations of registered investment advisers who employed or currently employ […]
July 25, 2019

New Jersey Debates Broker Conduct Standards In The Reg BI Era

This Client Alert updates our previous commentary regarding New Jersey’s efforts to establish a fiduciary duty applicable to all broker-dealers and investment advisers doing business in the state.  […]
May 31, 2019

Key Issues Discussed at SIFMA’s C&L Society Regional Seminar in Boston

SIFMA’s Compliance & Legal Society held a regional seminar in Boston on May 21, 2019. The conference hosted four panels comprised of regulators and various attorneys […]