Kelley A. Howes on Broker-Dealer

Investment Management Legal + Regulatory Update -- May 2013

In This Issue: Regulatory Updates - SEC Allows Limited Use of Social Media for Public Disclosure; Federal Reserve Board Publishes a Final Rule Specifying when Nonbank Firms are “Predominantly Engaged in...more

5/17/2013 - Broker-Dealer Custody Rule ETFs Federal Reserve Final Rules Investment Management Nonbank Firms Pensions Public Disclosure SEC Social Media Startups

One Step Closer to a Fiduciary Duty for Broker-Dealers?

More than two years after an SEC Staff study recommended adoption of a uniform fiduciary standard for broker-dealers and investment advisers, the SEC has taken its first significant step towards possible implementation of the...more

3/7/2013 - Broker-Dealer Dodd-Frank Fiduciary Duty Investment Adviser SEC

OCIE to Target Adviser Payments for Fund Distribution, Funds with “Alternative” Strategies and New Advisers

In an attempt to “increase transparency, strengthen compliance, and inform the public and the financial services industry about key risks,” the SEC’s Office of Compliance Inspections and Examinations (OCIE) published its 2013...more

2/25/2013 - Broker-Dealer Conflicts of Interest Corporate Governance Enterprise Risks Fund Distribution Investment Adviser NEP OCIE Revenue Sharing Risk Management SEC

FINRA Provides Early Guidance About Its Exam Priorities; Firms Should Take Notice

In its annual summary of regulatory and examination priorities, the Financial Industry Regulatory Authority (FINRA) signaled that it will aggressively pursue market misconduct. The January 11, 2013 report follows closely on...more

1/16/2013 - Broker-Dealer Compliance Cybersecurity FINRA Investment Adviser Investors

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Kelley A. Howes

Morrison & Foerster LLP

Latest Posts › Broker-Dealer