PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - What are the Different Ways Securities Can Be Offered and Sold? (Part 2)
Imminent Shift: Preparing for the T+1 Settlement Impact on Equity-Based Compensation — The Consumer Finance Podcast
PLI's inSecurities Podcast - The Dangers of Regulation by Enforcement
6 Key Takeaways | Hot Topics in Environmental, Social, and Governance (ESG)
Payment for Order Flow (PFOF) and Gamification: Your Questions Answered
Summer Enforcement Action Review; Raising Money in a Pandemic - Investment Management Roundtable Discussion
Main Reason To Be Selling PPLI Now
What a Difference a Day Makes!
Videocast: Asset management regulation in 2020 videocast series – The annuity regulatory landscape
Videocast: Asset management regulation in 2020 videocast series – Advisers Act regulatory agenda
Videocast: Asset management regulation in 2020 videocast series – Fiduciary investment advice: The patchwork emerges
Videocast: Asset management regulation in 2020 videocast series – SEC enforcement
Videocast: Asset management regulation in 2020 videocast series – Regulators step up pressure to implement LIBOR transition plans
Videocast: Asset management regulation in 2020 videocast series – Complying with new SEC rules for broker-dealers
Videocast: Asset management regulation in 2020 videocast series – DOL: What’s ahead
Videocast: Asset management regulation in 2020 videocast series – SEC’s OCIE exam priorities
Podcast: Credit Funds: Hot Topics in BDC Regulation
Videocast: Form CRS delivery obligations
Regulation Best Interest Videocast Series – Account Recommendations Under Regulation BI
Regulation Best Interest Videocast Series: Special Challenges For Dual Registrants
The Securities and Exchange Commission (“SEC”) has signaled the lowering of a major regulatory barrier for the institutional adoption of stablecoins. On February 19, SEC Commissioner Hester M. Peirce released a Statement...more
Sancho Panza dispensed this practical wisdom over 400 years ago, and his sage advice survives as a fundamental tenet of Modern Portfolio Theory. The notion that individual investors should maintain a diversified basket of...more
On March 6, 2026, the SEC and FinCEN announced parallel enforcement actions against a New York-based registered broker-dealer for systemic anti-money laundering (“AML”) failures, imposing combined penalties of $80 million –...more
Last week, Bill St. Louis, FINRA’s Executive Vice President of FINRA’s Enforcement Department, published a blog titled “Enhancing Our Enforcement Program.”...more
In February 2026, the Securities and Exchange Commission (SEC) approved and the Financial Industry Regulatory Authority (FINRA) adopted amendments to FINRA Rule 3220 (Influencing of Rewarding Employees or Others),...more
If you are unsure whether your current systems truly meet write once, read many (WORM) requirements, you are not alone. How to achieve WORM compliance is often a top concern for those responsible for managing regulated...more
FINRA’s reproposed amendments to Rule 2210 would permit broker-dealers to include projected performance and targeted returns in marketing materials subject to certain conditions but fall short of full alignment with the SEC's...more
Join K2 Integrity for a practical discussion on the intersection of internal audit, cybersecurity, and regulatory oversight in the broker-dealer space using real-word case studies. By the end of this session, you will be able...more
On May 15, 2024, the SEC adopted amendments to Regulation S‑P, adding new obligations for registered investment advisers, investment companies, broker‑dealers (including funding portals), and transfer agents. ERAs and private...more
For broker-dealers and financial firms, careful recordkeeping is more than just a best practice. There are strict rules on preserving data, such as internal records and social media posts, and these rules are enforced by the...more
As part of FINRA’s efforts to improve effectiveness and efficiency through its “FINRA Forward” initiative, FINRA’s Department of Enforcement recently implemented “common-sense improvements” to its program. The improvements,...more
In 2025, the US Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) experienced significant leadership changes, staffing departures, and a renewed “back to basics” emphasis on...more
The Financial Industry Regulatory Authority (FINRA) is an organization that enforces the Securities and Exchange Commission’s (SEC) regulatory requirements. Gaining an overview of FINRA Rule 3110 is critical if your...more
On February 13, 2026, the United States Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) issued an order (Order) granting certain banks, mutual funds, brokers, and dealers exceptive relief from the...more
On February 12, 2026, the US Securities and Exchange Commission approved FINRA’s proposed amendment to FINRA Rule 3220 (the Gifts Rule), increasing the annual gift limit from $100 to $300 per recipient. The amendment will...more
Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more
Earlier this month, Benjamin Edwards, a broker-dealer firm, agreed to a censure and to pay a $750,000 fine for failing to properly supervise and preserve its employees’ business-related text messages....more
Responding to concerns raised and longstanding debates over how the Financial Industry Regulatory Authority’s (FINRA) arbitration forum functions, on March 2, FINRA issued Regulatory Notice 26‑06, seeking public comment on...more
The Financial Industry Regulatory Authority (FINRA) announced changes to its enforcement program on March 2, as part of its broader "FINRA Forward" initiative. FINRA believes these “common-sense improvements,” which follow...more
The amended Gifts Rule marks the first adjustment since 1992 and codifies longstanding guidance on gift valuation, aggregation, and exclusions with minor adjustments....more
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee convened virtually on February 24, 2026, marking its first meeting of the year following the government shutdown that disrupted its...more
The Financial Industry Regulatory Authority (FINRA) recently published a transparent description of how it assesses member-firm risk and uses those results to plan and tailor examinations. This framework provides a roadmap...more
FINRA has issued guidance on when member firms may rely on negative consent to transfer or assign customer accounts in bulk and has announced that it will discontinue its long-standing practice of reviewing draft customer...more
On February 19, the SEC’s Division of Trading and Markets issued a new frequently asked question (FAQ) on the treatment of payment stablecoins under the broker-dealer net capital rule (Exchange Act Rule 15c3-1) to its list of...more
On February 19, 2026, the SEC's Division of Trading and Markets issued a series of FAQs with a follow-up statement from SEC Commissioner and Crypto Task Force Leader Hester Peirce. Below, we analyze and comment on the FAQs...more