For the 2025 proxy and annual reporting season, there are a number of key issues to consider and keep an eye on for further developments as preparations commence. This alert provides an overview of these issues and updates in...more
Join BakerHostetler for our series of Fireside Chats about the latest developments impacting the capital markets and their participants, and the blockchain industry....more
7/12/2023
/ Administrative Proceedings ,
Artificial Intelligence ,
Blockchain ,
Capital Markets ,
Cybersecurity ,
Digital Assets ,
Enforcement ,
Popular ,
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Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Webinars
On March 29, Gensler testified before the U.S. House Appropriations Committee’s Financial Services and General Government Subcommittee during a hearing on the SEC’s Fiscal Year 2024 Budget Justification Annual Performance...more
The 2023 Report on FINRA’s Examination and Risk Monitoring Program was published on Jan. 10, 2023. In a statement accompanying the Report, Greg Ruppert, executive vice president of FINRA’s Member Supervision organization,...more
1/19/2023
/ Annual Reports ,
Anti-Money Laundering ,
Broker-Dealer ,
Compliance ,
Cybersecurity ,
Economic Sanctions ,
Enforcement Priorities ,
Financial Crimes ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
Fraud ,
Internal Reporting ,
Investment Adviser ,
Market Manipulation ,
Risk Management