In an unusual move, on July 26, 2024, the Securities and Exchange Commission (SEC) stayed an order that was previously issued by its own Division of Trading and Markets just one week earlier on July 19, 2024. That order...more
2023 was a watershed year for the private fund industry, not only because the US Securities and Exchange Commission (SEC) adopted a package of new regulations that will substantially alter the private fund landscape (subject...more
The US Securities and Exchange Commission (SEC) proposed on July 26, 2023 new rules designed to address conflicts of interest from the use of predictive data analytics in “investor interactions” by broker-dealers and...more
Morgan Lewis’s securities enforcement and investment management teams highlight expected US Securities and Exchange Commission (SEC or Commission) priorities for investment advisers in 2022 and look back at significant SEC...more
While an SEC proposal to exempt “finders” from broker-dealer registration requirements is promising, potential hazards remain and interpretive questions may persist. ...more
The Financial Industry Regulatory Authority, US Securities and Exchange Commission, and state securities regulators recognize the significant impact of the coronavirus (COVID-19) pandemic on broker-dealers, investors, and...more
Firms will need to separately engage with the US Securities and Exchange Commission on delays related to the coronavirus (COVID-19) pandemic....more
The US Securities and Exchange Commission and the Financial Industry Regulatory Authority recognize the significant impact of the coronavirus (COVID-19) pandemic on broker-dealers, investors, and other stakeholders, and have...more
The Morgan Lewis Year in Review highlights key US Securities and Exchange Commission (the SEC or the Commission) and Financial Industry Regulatory Authority (FINRA) enforcement and examination developments, and cases...more
2/27/2020
/ American Depository Receipts (ADRs) ,
Anti-Money Laundering ,
Broker-Dealer ,
BSA/AML ,
Cooperative Compliance Regime ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Fraud ,
Insider Trading ,
Investment ,
Investment Management ,
Money Laundering ,
Municipal Bonds ,
Mutual Funds ,
Regulation SCI ,
Regulation SHO ,
Securities and Exchange Commission (SEC) ,
UGMA
The SEC’s interpretation of the investment adviser standard of conduct appears to refine the contours of the fiduciary duty that investment advisers owe their clients under the Advisers Act, enhance disclosure obligations,...more
The US Securities and Exchange Commission voted on June 5 to adopt its long-awaited rules governing retail advice. These new standards of conduct include the adoption of Regulation BI and Form CRS, as well as interpretive...more
The Morgan Lewis Year in Review highlights key US Securities and Exchange Commission (the SEC or the Commission) and Financial Industry Regulatory Authority (FINRA) enforcement developments and cases regarding broker-dealers,...more
In a first step toward developing standards for advice to retail customers, the Securities and Exchange Commission recently proposed rules and interpretive guidance intended to enhance investor protections while preserving...more
The SEC continues to focus on cybersecurity as an area of concern within the investment management industry....more
Executive Summary -
The Morgan Lewis Year in Review highlights key US Securities and Exchange Commission (the SEC or the Commission) and Financial Industry Regulatory Authority (FINRA) enforcement developments and...more
3/1/2017
/ Anti-Money Laundering ,
Broker-Dealer ,
Conflicts of Interest ,
Custody Rule ,
Customer Protection Rule ,
Data Security ,
Disgorgement ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Foreign Corrupt Practices Act (FCPA) ,
Investment Adviser ,
Investment Companies ,
Market Access Rule ,
Mutual Funds ,
Popular ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Senior Investors ,
Short Sales ,
Spoofing ,
Whistleblowers
Table of Contents:
Executive Summary; U.S. Securities and Exchange Commission; and Financial Industry Regulatory Authority.
Executive Summary -
This Outline highlights key U.S. Securities and Exchange...more