Massachusetts is beginning to prepare for the next phase of its four-phase reopening plan. On June 1 Governor Charlie Baker issued an order allowing Phase II businesses to open their locations to workers to prepare for...more
An injunction blocking enforcement of an emergency prohibition on debt collection phone calls and lawsuits during the coronavirus (COVID-19) crisis was granted on May 6, 2020 on grounds that it violates the First Amendment...more
The Massachusetts Office of the Attorney General issued an emergency rule on April 1 to prevent unfair and deceptive collection practices during the coronavirus (COVID-19) crisis. The rule temporarily prohibits some debt...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