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Faegre Drinker Biddle & Reath LLP

FINRA’s Focus on Account Recommendations and Rollovers

Faegre Drinker Biddle & Reath LLP on

FINRA’s continued focus on account recommendations and rollovers is evident in its 2025 FINRA Annual Regulatory Oversight Report (the Report), Based on the Report, broker-dealers and their registered representatives...more

Troutman Pepper Locke

District of Columbia AG Issues Supplemental Business Advisory on Restaurant Fees

Troutman Pepper Locke on

In August, District of Columbia Attorney General (AG) Brian Schwalb issued a Supplemental Business Advisory (advisory) to provide guidance and examples to restaurants for complying with their legal obligation under the...more

Carlton Fields

New York Pushes Mutual Fund Active Share Disclosure

Carlton Fields on

New York’s Attorney General issued a report on its recent investigation of fees charged by actively managed equity mutual funds and a metric known as "Active Share." Denoted as a "percentage" from 0 to 100 percent, Active...more

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