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Supreme Court Deals Major Blow to SEC Disgorgement Claims in Kokesh

The U.S. Securities and Exchange Commission (SEC) may now only collect disgorgement from defendants within five years of filing suit. On June 5, the United States Supreme Court ruled unanimously that the five-year statute of...more

SEC and FINRA Regulatory Priorities: Common Goals for 2017

Each year, both the United States Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) issue guidance concerning their regulatory priorities for the coming year. This year, FINRA...more

Salman v. U.S.: More Questions than Answers?

The United States Supreme Court recently rendered a decision in Salman1 resolving a circuit split over whether the government prosecuting an insider trading case must show that the person giving an insider tip received...more

SEC, FINRA and the DOL Take Aim at Confidentiality Provisions in Firm Agreements

On October 24, 2016, the United States Securities and Exchange Commission (SEC)'s Office of Compliance Inspections and Examinations (OCIE) released an alert examining whistleblower rule compliance and the use of...more

New Requirements for Broker Recruitment

On December 16, 2015, the Financial Industry Regulatory Authority (FINRA) proposed Rule 2273 requiring brokers who move to a new firm to send an "educational communication" to customers they want to take with them, informing...more

SEC Amendments Require Advisers to Disclose More Information and Keep Additional Records

On August 25, 2016, the Securities and Exchange Commission (SEC) adopted amendments to Form ADV and to several rules under the Investment Advisers Act of 1940 (Advisers Act) (collectively, the Amendments). The SEC adopted the...more

New Fiduciary Duty Rule: What You Need to Do Now

On April 6, 2016, the U.S. Department of Labor (DOL) released its Final Fiduciary Duty Rule. The effective date for the rule is June 7, 2016, which is 60 days after its Federal Register publish date of April 8. The rule takes...more

OCC Issues White Paper on "Responsible Innovation"

On March 31, 2016, the Office of the Comptroller of the Currency (OCC) issued a white paper on the growing intersection between financial services and technology. The OCC stated that "[w]hile banks continue to innovate, rapid...more

Common Trends in FINRA and SEC Regulatory Priorities

Each year, both the Financial Industry Regulatory Authority (FINRA) and the United States Securities and Exchange Commission (SEC) issue guidance concerning their regulatory priorities for the coming year. This year, FINRA...more

Increased SEC and FINRA Scrutiny on Confidentiality Provisions

Over the past several months, confidentiality provisions included in settlement agreements, employment or independent contractor contracts, or in other documents, have come under increased scrutiny in the financial industry....more

SEC Issues Guidance on its 2014 Examination Priorities

Each year, the SEC Office of Compliance Inspections and Examination's National Exam Program (NEP) issues a letter communicating to investors and registrants the areas that the staff perceives to present heightened risks. This...more

2/19/2014  /  Compliance , Enforcement Actions , Fraud , NEP , SEC

FINRA Issues 2014 Regulatory and Examination Priorities Letter

On January 2, 2014, the Financial Industry Regulatory Authority (FINRA) issued its 2014 Annual Regulatory and Examination Priorities Letter (Priorities Letter). This letter is issued annually to highlight new and existing...more

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