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Broker-Dealer › Diversity and Inclusion Standards (D&I)

Moore & Van Allen PLLC

Balancing Supervision in a Virtual Environment: Key Points of FINRA’s New Voluntary Remote Inspections Pilot Rule

Moore & Van Allen PLLC on

Securities regulators have long been concerned with the potential regulatory risks associated with geographically dispersed broker-dealer offices, citing the observation that the distance of these offices from compliance and...more

Goodwin

Financial Institution Diversity Voluntary Self-Assessments: Due September 30

Goodwin on

Financial Institution Diversity Voluntary Self-Assessments: Due September 30 - On July 13, the FDIC issued a financial institution letter announcing that FDIC-supervised financial institutions are encouraged to...more

UB Greensfelder LLP

Lack Of Diversity In FINRA Arbitration Panels, Or, How Many Old, White Guys Does It Take To Hear A Case?

UB Greensfelder LLP on

Let me say at the outset that I, myself, am an old (by most people’s definition, anyway), white man. So, selfishly, I’ve got nothing against old, white men. But, the fact is that FINRA arbitration panels are...more

Kramer Levin Naftalis & Frankel LLP

Corporate Governance 2021 Year in Review (and a First Look at 2022)

Kramer Levin Naftalis & Frankel LLP on

2021 was a busy year for corporate governance matters, with new legislation passed early in the year and new enforcement priorities emerging under the Biden administration. Kramer Levin lawyers published numerous articles...more

Eversheds Sutherland (US) LLP

FINRA’s diversity and inclusion efforts

Eversheds Sutherland (US) LLP on

FINRA has recently taken steps to advance diversity and inclusion in the broker-dealer industry. Regulatory Notice 21-17 - On April 29, 2021, FINRA issued Regulatory Notice 21-17, seeking comments on supporting...more

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