The US Securities and Exchange Commission (SEC) issued a notice of proposed rulemaking (the Proposal) on March 15 that would require SEC-regulated investment advisers, investment companies, and broker dealers to provide...more
The Morgan Lewis Year in Review highlights key US Securities and Exchange Commission (the SEC or the Commission) and Financial Industry Regulatory Authority (FINRA) enforcement and examination developments, and cases...more
2/27/2020
/ American Depository Receipts (ADRs) ,
Anti-Money Laundering ,
Broker-Dealer ,
BSA/AML ,
Cooperative Compliance Regime ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Fraud ,
Insider Trading ,
Investment ,
Investment Management ,
Money Laundering ,
Municipal Bonds ,
Mutual Funds ,
Regulation SCI ,
Regulation SHO ,
Securities and Exchange Commission (SEC) ,
UGMA
The Financial Crimes Enforcement Network (FinCEN) recently issued guidance consolidating current FinCEN regulations, rulings, and guidance about cryptocurrencies and money services businesses (MSBs) under the Bank Secrecy Act...more
5/21/2019
/ Anti-Money Laundering ,
Bank Secrecy Act ,
Banking Sector ,
Blockchain ,
Broker-Dealer ,
CFTC ,
Cryptocurrency ,
Digital Wallets ,
Financial Institutions ,
Financial Services Industry ,
FinCEN ,
FinTech ,
Money Services Business ,
Securities and Exchange Commission (SEC)
The Morgan Lewis Year in Review highlights key US Securities and Exchange Commission (the SEC or the Commission) and Financial Industry Regulatory Authority (FINRA) enforcement developments and cases regarding broker-dealers,...more
The SEC continues to focus on cybersecurity as an area of concern within the investment management industry....more
Executive Summary -
The Morgan Lewis Year in Review highlights key US Securities and Exchange Commission (the SEC or the Commission) and Financial Industry Regulatory Authority (FINRA) enforcement developments and...more
3/1/2017
/ Anti-Money Laundering ,
Broker-Dealer ,
Conflicts of Interest ,
Custody Rule ,
Customer Protection Rule ,
Data Security ,
Disgorgement ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Foreign Corrupt Practices Act (FCPA) ,
Investment Adviser ,
Investment Companies ,
Market Access Rule ,
Mutual Funds ,
Popular ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Senior Investors ,
Short Sales ,
Spoofing ,
Whistleblowers