Ariel Gursky

Ariel Gursky

Morgan Lewis

Contact
View Bio
RSS

Latest Posts › Financial Services Industry

Share:

Developments in SEC and FINRA Enforcement and Exams for Investment Advisers and Broker-Dealers: 2024–2025

The US Securities and Exchange Commission (SEC) brought a number of significant enforcement proceedings against investment advisers and broker-dealers in FY 2024 and during the first quarter of FY 2025. If history serves as a...more

2/21/2025  /  Broker-Dealer , Compliance , Enforcement Actions , Financial Services Industry , Fraud , Insider Trading , Investment Adviser , Investment Management , Securities and Exchange Commission (SEC) , Securities Regulation

SEC Proposes Amendments to Electronic Recordkeeping Requirements

While the US Securities and Exchange Commission seeks to modernize electronic recordkeeping requirements in a technology-neutral manner, its proposed amendments are unclear as to the permissible use of the “cloud” or...more

12/17/2021  /  Broker-Dealer , Distributed Ledger Technology (DLT) , Financial Industry Regulatory Authority (FINRA) , Financial Services Industry , Proposed Amendments , Recordkeeping Requirements , Securities and Exchange Commission (SEC) , Securities Exchange Act
2 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide