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Strategic Enforcement Plan › Financial Industry Regulatory Authority (FINRA)

The Strategic Enforcement Plan (SEP) is a strategy developed by the United States Equal Employment Opportunity Commission which 1) establishes priorities for the EEOC and 2) integrates the EEOC's private and... more +
The Strategic Enforcement Plan (SEP) is a strategy developed by the United States Equal Employment Opportunity Commission which 1) establishes priorities for the EEOC and 2) integrates the EEOC's private and public enforcement efforts. The purpose of the SEP is to focus the EEOC's resources to best address discriminatory practices in the workplace. less -
Eversheds Sutherland (US) LLP

“Luke, I am your father.” (Or not.) Collective False Memory and SEC and FINRA Enforcement Issues from November and December 2020

Eversheds Sutherland (US) LLP on

Often, there are quotes, spellings, symbols, events, or experiences that many of us “know” occurred, but which did not actually happen. This phenomenon is known as the “Mandela Effect,” or “collective false memory.” Its name...more

Latham & Watkins LLP

Principles Guiding FINRA Enforcement Action

Latham & Watkins LLP on

FINRA Enforcement head Susan Schroeder offers member firms clarity on arguments most likely to move FINRA to decline an Enforcement action. The Financial Industry Regulatory Authority (FINRA) relies on a framework of core...more

Eversheds Sutherland (US) LLP

FINRA’s Disciplinary Actions in 2017 (and beyond): Increased restitution ordered with minimal changes in number of cases; variable...

Eversheds Sutherland (US) LLP on

In 2017, the Financial Industry Regulatory Authority (FINRA) ordered more than two times the restitution from the prior year, resulting in the fourth highest total of sanctions (fines combined with restitution and...more

Sheppard Mullin Richter & Hampton LLP

REGULATORS, QUANT UP! New Rules from FINRA, SEC and CFTC Target Automated Algorithmic Trading

Sheppard Mullin Richter & Hampton LLP on

On February 11, 2016, the Financial Industry Regulatory Authority (“FINRA”) filed a proposed rule with the Securities and Exchange Commission (“SEC”) that would require individuals who “design, develop or significantly modify...more

K&L Gates LLP

Heard at the SIFMA Conference

K&L Gates LLP on

Recently, partners from K&L Gates’ Government Enforcement, Broker-Dealer and Investment Management practice groups attended the Securities Industry and Financial Markets Association’s (“SIFMA”) Compliance and Legal Society...more

Burr & Forman

FINRA’s 2015 Exam Priorities

Burr & Forman on

The Financial Industry Regulatory Authority (“FINRA”) released its 10th annual Exam Priority Letter earlier this week (Jan. 6, 2015). The so-called “Errico Letter” advises broker-dealer member firms of the operational risks...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - Volume X, Issue 1

Katten Muchin Rosenman LLP on

In this issue: - SEC Proposes Rule Amendments to Implement JOBS Act Registration Thresholds - ISS Releases FAQs on Equity Plan Scorecard and Independent Chair Policy - FINRA Issues Annual Regulatory and...more

Stinson - Corporate & Securities Law Blog

Private Placement Due Diligence and Contingency Offerings Among FINRA’s 2015 Priorities

Stinson - Corporate & Securities Law Blog on

On January 6, 2015, FINRA released its 10th annual Regulatory and Examinations Priorities Letter in which it identified key areas of focus for FINRA investigations for 2015. Since the approval of FINRA Rule 5123 on June 7,...more

Carlton Fields

Cybersecurity: Dig That Crazy Important Beat

Carlton Fields on

The SEC and FINRA are maintaining a steady drumbeat to motivate regulated firms to adequately protect themselves from cyberattack. The SEC’s Office of Compliance Inspections and Examinations (OCIE) began 2014 by...more

Proskauer - Corporate Defense and Disputes

FINRA’s 2015 Examination Priorities Zero In On Abusive Trading Algorithms and Other Issues Involving Trading Technology

Proskauer - Corporate Defense and Disputes on

FINRA’s recently-released Regulatory and Examinations Priorities Letter for 2015 reflects substantial regulatory interest in high-frequency trading and other issues arising from trading technology. Regulatory concern over...more

K&L Gates LLP

2014 SEC and FINRA Enforcement Actions Against Broker-Dealers and Investment Advisers

K&L Gates LLP on

The sheer number of enforcement actions brought against broker-dealers and investment advisers makes it challenging to keep up. In this alert, we divide this year’s most important cases against broker-dealers and investment...more

Brooks Pierce

Securities Enforcement Forum 2014 — SEC/FINRA Investigations & Cybersecurity Priorities

Brooks Pierce on

Yesterday I blogged from the Securities Enforcement Forum 2014, Bruce Carton’s excellent one-day conference, held at the Four Seasons hotel in Washington, D.C. The posts will be fairly raw, and certainly not verbatim...more

Orrick, Herrington & Sutcliffe LLP

Assessing the Increased Regulatory Focus on Public Company Internal Control and Reporting

Orrick, Herrington & Sutcliffe LLP on

Over the past few months, the Securities and Exchange Commission (‘‘SEC’’) has publicly stated its increasing focus on public company internal controls and related reporting obligations. In February of this year at the...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - Volume IX, Issue 38

Katten Muchin Rosenman LLP on

In this issue: - SEC Releases Strategic Plan for 2014–2018 - House Passes Bill H.R. 5405 “Promoting Job Creation and Reducing Small Business Burdens Act” - FINRA Board Approves Several Rulemaking Items...more

Morrison & Foerster LLP

Investment Management Legal + Regulatory Update -- September 2014

Morrison & Foerster LLP on

In This Issue: - Regulation: Long-Awaited Money Market Fund Rules Adopted - SEC Staff Offers Guidance Regarding Investment Advisers and Proxy Advisory Firms - SEC Staff Closes Loophole on BDC Asset...more

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