Sarah Razaq Sallis

Sarah Razaq Sallis

Eversheds Sutherland (US) LLP

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Here’s looking at you, FINRA - the possible implications of “extraordinary cooperation” and Regulatory Notice 19-23 on...

In October 2005, we wrote an article titled “Cooperation, Only More So: What It Takes to Receive Credit for Cooperating with NASD.” The title came from a line in the movie Casablanca. In it, Rick (Humphrey Bogart) is asked...more

7/16/2019  /  Cooperation , Financial Industry Regulatory Authority (FINRA) , NASD , Securities and Exchange Commission (SEC) , Self-Reporting

The other shoe has dropped – The SEC follows up with firms that didn’t self-report under the share class initiative

The Share Class Initiative - On February 12, 2018, the Division of Enforcement of the US Securities and Exchange Commission (SEC) announced the Share Class Selection Disclosure Initiative (Initiative), which informed SEC...more

12/12/2018  /  Disclosure Requirements , Enforcement , Investment Adviser , Mutual Funds , Registered Investment Advisors , Securities and Exchange Commission (SEC) , Self-Reporting , Share Classes
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