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Broker-Dealer › Outsourcing

Faegre Drinker Biddle & Reath LLP

You Made the List: SEC’s Spring Agenda Would Impact Broker-Dealers

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The SEC’s Office of Information and Regulatory Affairs recently released the Spring 2023 Unified Agenda of Regulatory and Deregulatory Actions (the Agenda). The word salad of a title hints at the fact the SEC is considering a...more

Dorsey & Whitney LLP

SEC Proposes New Oversight Requirements for Certain Services Outsourced by Investment Advisers

Dorsey & Whitney LLP on

The Securities and Exchange Commission (the “SEC”) recently proposed new rule 206(4)-11 and related recordkeeping and reporting requirements (collectively, the “Proposed Rule”) under the Investment Advisers Act of 1940 (the...more

BCLP

Supervision of Vendors When Outsourcing - The Buck Stops with FINRA Member Firms

BCLP on

Key Takeaways: ..On August 13, 2021, FINRA issued Regulatory Notice 21-29 (“RN 21-29”) to remind member firms that they must establish and maintain an adequate supervisory system, including written supervisory procedures...more

Katten Muchin Rosenman LLP

Bridging the Week - January 2015 #2

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FINRA Highlights Member Examinations Focus for 2015 - The Financial Industry Regulatory Authority issued its annual letter to broker-dealers setting forth its regulation and examination priorities for the new year....more

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