Rebecca Lawrence

Rebecca Lawrence

Ballard Spahr LLP

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SEC 2021 Examination Priorities – Focus on Municipal Securities and Municipal Advisors

The U.S. Securities and Exchange Commission’s Division of Examination (Division) announced its 2021 examination priorities (the Report) on March 3, 2021. The Division’s examination priorities reflect areas that present...more

3/26/2021  /  Financial Industry Regulatory Authority (FINRA) , Libor , Municipal Securities Issuers , Municipal Securities Market , SEC Examination Priorities , Securities and Exchange Commission (SEC)

Placement Agents and Due Diligence: FINRA Settles With a Placement Agent for Failure to Retain Evidence of the Process and Results...

Summary - FINRA settled with a placement agent for failing to perform due diligence and supervise an employee in connection with the placement of securities by the placement agent in a Regulation D offering....more

12/2/2020  /  Due Diligence , EDGAR , Financial Industry Regulatory Authority (FINRA) , Private Placements , Regulation D
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