News & Analysis as of September 22, 2024

Financial Industry Regulatory Authority (FINRA) › Surveillance

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Payment for Order Flow (PFOF) and Gamification: Your Questions Answered
Summer Enforcement Action Review; Raising Money in a Pandemic - Investment Management Roundtable Discussion
Investment Management and Private Funds Roundtable – June 2020
Videocast: Asset management regulation in 2020 videocast series – FinTech initiatives
Videocast: Asset management regulation in 2020 videocast series – Fiduciary investment advice: The patchwork emerges
Videocast: Asset management regulation in 2020 videocast series – SEC enforcement
Videocast: Asset management regulation in 2020 videocast series – Complying with new SEC rules for broker-dealers
Investment Management Roundtable Discussion – Regulatory and Enforcement Update
Regulation Best Interest Videocast Series: Establishing An Investment Platform Post-Regulation BI
Investment Management Update - Focus on Data Privacy and Cybersecurity

Compliance Tips: Broker-Dealer and Adviser Use of Personal Devices

Eversheds Sutherland (US) LLP on 10/18/2022

Now that the dust has settled on the SEC’s enforcement action against fifteen (15) broker-dealers and an investment adviser for violations of SEC recordkeeping rules applicable to the use of personal devices and off-channel...more

Structured Thoughts: Volume 5, Issue 3 - April 9, 2014

Morrison & Foerster LLP - Structured Products on 4/10/2014

In This Issue: - The SEC Issues Its Long-Awaited Sweep Letter on ETNs - FINRA Proposes Amendments to Communication Rules – Relief from Filing for Certain FWPs - Comprehensive Surveillance Sharing Agreements -...more

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Financial Industry Regulatory Authority (FINRA) › Surveillance

Compliance Tips: Broker-Dealer and Adviser Use of Personal Devices

Structured Thoughts: Volume 5, Issue 3 - April 9, 2014

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