Law School Toolbox Podcast Episode 318: Listen and Learn -- Negligence: Duties of Professionals and Children
Bar Exam Toolbox Podcast Episode 147: Listen and Learn -- Negligence: Duties of Professionals and Children
NGE OnDemand: Cybersecurity Issues and Standard of Care with David Wheeler
Law School Toolbox Podcast Episode 257: Listen and Learn -- The "Reasonable Person" Standard
Bar Exam Toolbox Podcast Episode 88: Listen and Learn -- Negligence Per Se
In a Legal Alert issued before the SEC open meeting, we posed five questions that our Investment Services team would be looking out for as part of this meeting. We now have answers to some of these questions....more
Since Regulation Best Interest’s (Reg BI) June 30, 2020 compliance date, the Division of Examinations of the Securities and Exchange Commissions (the Division) has been busy implementing examinations of broker-dealers to...more
Yes, (somehow) it is that time of year again. FINRA recently released its 2023 Report on its Examination and Risk Monitoring Program (the “Report”). As is typical (and this blog has well-covered), it contains a mix of old and...more
We have made it a point previously in this blog to track developments of the SEC’s Regulation Best Interest (Reg BI), even speculating more aggressive enforcement actions could be coming due to certain Reg BI deficiency...more
Regulation Best Interest: Best Interest and Suitability-How They Differ (Part 1)- Regulation Best Interest (Reg BI) imposes a “best interest” standard of care on broker-dealers for their recommendations of securities and...more