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Risk Mitigation Securities and Exchange Commission (SEC) Investment

Faegre Drinker Biddle & Reath LLP

The Best Interest Standard for Recommending Account Types

Under Regulation Best Interest (Reg BI), the SEC imposes a best interest standard on account recommendations by broker-dealers. This is because recommending an account type is viewed by the SEC as recommending an investment...more

Foley & Lardner LLP

Charitable Giving, Government Support and Concession Requests, and Anti-Corruption Compliance in the Time of the Coronavirus...

Foley & Lardner LLP on

The COVID-19 pandemic has created hardships across the globe at unprecedented levels – with practically no region or industry unaffected. Governments at all levels across the globe, along with non-governmental and...more

Stinson LLP

SEC Proposes Shortening Broker-Dealer Settlement Cycle to T+2

Stinson LLP on

On September 28, 2016, the U.S. Securities and Exchange Commission (SEC) submitted a proposal to shorten the settlement cycle for broker-dealer transactions to two days after the trade date (T+2). The proposal would amend...more

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