D. E. Wilson, Jr.

D. E. Wilson, Jr.

Venable LLP

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FINRA Targets Broker-Dealer Order Routing and Execution Quality of Customer Orders

The Financial Industry Regulatory Authority (“FINRA”) has initiated a potentially impactful examination of broker-dealer order routing and execution. FINRA recently issued a targeted examination letter ("Order Routing and...more

7/15/2014 - Broker-Dealer Compliance Enforcement FINRA

Advertising News & Analysis - April 24, 2014

In this issue: - FDA Unveils Long-Awaited E-Cig Regs - Keep Tabs on TCPA Litigation…Or Face Your Own - The Stomach-Turning Fight Over NAD Jurisdiction - Bitcoin Creates Buzz, as Well as Tax and...more

4/28/2014 - Advertising Bitcoins Compliance E-Cigarettes FDA NAD TCPA Virtual Currency

Business News Digest – April 2014

In this issue: - Cybersecurity Assessments – Using the Tool Well - A SOX in the Gut: Supreme Court Vastly Expands Workplace "Whistleblower" Law - SEC to Scrutinize Never-Examined Investment...more

4/3/2014 - CFPB Class Action Coca Cola Compliance Contractors Cyber Attacks Cybersecurity Embezzlement FCPA Food Labeling Foreign Investment Fraud Lawson v FMR POM Wonderful Prepaid Payment Products Russia Sanctions Sarbanes-Oxley SCOTUS SEC Student Loans Suspensions & Debarments Ukraine Whistleblower Protection Policies Whistleblowers

Business News Digest – August 2013

In this issue: - SEC Allows Public Advertising of Private Securities Offerings - What Your Nonprofit Needs to Do about HIPAA – Now - The 2013 Draft MDE General Permit for Stormwater Associated with...more

8/8/2013 - Advertising CFPB Colleges Compliance Construction Site HIPAA Iran IRS JOBS Act New Regulations Non-Profits Nonbank Firms Private Placements Proposed Regulation Rule 506 Offerings SEC Storm Water Universities

Record Civil False Claims Act Recoveries Point to Increased Whistleblower Cases in 2013

In fiscal year 2012, the Justice Department recovered nearly $5 billion in False Claims Act (FCA) settlements and judgments, a single-year high, and the second straight year DOJ set a new record. If you are a government...more

12/11/2012 - Compliance DOJ False Claims Act Whistleblowers

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