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Broker-Dealer › Public Hearing

Dechert LLP

Massachusetts Moves Forward With Proposed Fiduciary Duty for Broker-Dealers and Investment Advisers

Dechert LLP on

Massachusetts’ Secretary of the Commonwealth, William F. Galvin, caused the Securities Division to issue, on November 29, 2019, a revised proposed uniform standard of conduct for broker-dealers, investment advisers, and their...more

Patterson Belknap Webb & Tyler LLP

Colorado Regulator Proposes New Cybersecurity Rules for Financial Institutions

Patterson Belknap Webb & Tyler LLP on

Increasingly, states are enacting cybersecurity regulations for financial institutions and investment advisors. Following New York’s groundbreaking regulation, Colorado recently proposed changes to its state...more

Morrison & Foerster LLP - JOBS Act

Unlawful Crowdfunding? — SEC Institutes Public Administrative and Cease-and-Desist Proceeding Against Unregistered Broker-Dealer

Morrison & Foerster LLP - JOBS Act on

In a proceeding on September 28th, the SEC ordered a public hearing to be held before an Administrative Law Judge within the next two months. Further, the SEC ordered the Respondent and two companies under his control, to...more

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