Today, the SEC put out its 2021 Exam Priorities, available here. It is about 40 pages long and covers a lot of topics. While I encourage everyone to read through the document, here are the primary focus items for...more
Join Heidi E. VonderHeide as she discusses how Regulation Best Interest is being implemented, examines post-effective date guidance and activity by the regulators, and shares what to expect during 2021 exams. Heidi will also...more
1/25/2021
/ Banking Sector ,
Broker-Dealer ,
Chief Compliance Officers ,
Continuing Legal Education ,
Corporate Counsel ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Services Industry ,
Fund Managers ,
Investment Banks ,
Investment Companies ,
Regulation Best Interest ,
Retail Banks ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Webinars
On October 26, the SEC hosted a roundtable discussion during which the SEC and FINRA shared some of their observations about how firms are doing implementing Regulation Best Interest. If you missed the live presentation, it...more
Just in case you’ve not yet seen them, both the SEC and FINRA, over the last week or so, have released a series of documents that touch, partly or entirely, on Reg BI (which everyone knows they must comply with by the end of...more
Just before the Holidays, I attended FINRA’s one-day Reg BI seminar in Washington D.C., where member firms and regulators (but primarily the SEC) discussed the new rule and what they hoped it meant for the industry.
As you...more
Ron Betman and Heidi VonderHeide will discuss the state of the law two years after Kokesh v. S.E.C., SEC’s Enforcement’s focus on conflicts of interest disclosure, and Regulation Best Interest (Reg BI)....more
11/27/2019
/ Banking Sector ,
Broker-Dealer ,
Conflicts of Interest ,
Continuing Legal Education ,
Disclosure Requirements ,
Enforcement Actions ,
Financial Services Industry ,
Investment Companies ,
Kokesh v SEC ,
Regulation Best Interest ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
Webinars