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
8/19/2020
/ American Depository Receipts (ADRs) ,
BSA/AML ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Transactions ,
Investment ,
Investment Adviser ,
Investment Companies ,
Investment Management ,
RMBS ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Suspicious Activity Reports (SARs)
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
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
FINRA issues its 2016 Regulatory and Examination Priorities Letter.
The Financial Industry Regulatory Authority (FINRA) rang in the New Year with the release on January 5 of its annual Regulatory and Examination...more
Background -
Eight years in the making, the US Securities and Exchange Commission (SEC) has finally approved the Financial Industry Regulatory Authority’s (FINRA's) proposed Rule 2242 (the Rule or Rule 2242), which will...more
10/6/2015
/ Carve Out Provisions ,
Conflicts of Interest ,
Debt Securities ,
Disclosure Requirements ,
Due Diligence ,
Exemptions ,
Final Rules ,
Financial Industry Regulatory Authority (FINRA) ,
Institutional Investors ,
Investment Banks ,
Qualified Institutional Buyers ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act
FINRA explains the risk levels associated with communications regarding potential investment banking transactions: from low to high to “unmanageable.”
On May 27, the Financial Industry Regulatory Authority (FINRA)...more