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FINRA Reg Notice 17-40: Is Your AML Program Ready For FinCEN’s CDD Rule?

On November 21, 2017, FINRA issued Regulatory Notice 17-40 to provide member firms guidance regarding their obligations under FINRA Rule 3310 (Anti-Money Laundering Compliance Program) in light of the Financial Crimes...more

Who’s on First? - Current Status of the DOL’s Fiduciary Duty Rule

On March 10, 2017, the Department of Labor (“DOL”) issued “Field Assistance Bulletin No. 2017-01,” notifying financial services firms that the DOL will not, “in the short term,” pursue enforcement of its proposed new...more

Unanimous Supreme Court Rejects Effort to Cut Back Insider Trading Liability

The U.S. Supreme Court earlier today rejected an attempt to cut back on liability for insider trading where people give inside tips to family members and friends. In Salman v. United States, the Court unanimously held that...more

Supreme Court Reviews Insider Trading

On Wednesday, October 5, 2016, the U.S. Supreme Court heard oral argument in the highly anticipated insider trading case, Salman v. U.S., in which it is anticipated the Court will address conflicting decisions of the Second...more

The DOL Fiduciary Rule and Potential Limitations On Investor Choice

On Wednesday, April 6, 2016, the United States Department of Labor (the “DOL”) released the final version of its rule imposing a “best interest” fiduciary standard on financial professionals who provide retirement savings...more

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