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Consumer Protection Laws Financial Industry Regulatory Authority (FINRA) Financial Services Industry

Eversheds Sutherland (US) LLP

FINRA signals heightened focus on senior investor protection

On July 15, FINRA’s Investor page featured an article titled “Protecting Older Investors From Financial Exploitation,” signaling a renewed and strengthened focus on safeguarding senior investors—an issue FINRA has long...more

Eversheds Sutherland (US) LLP

Dual registrant regulatory roundup - June 2024

Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more

Morgan Lewis

Broker-Dealer Custody of Digital Asset Securities

Morgan Lewis on

On July 8, the staffs of the Division of Trading and Markets (TM) of the US Securities and Exchange Commission and of the Office of General Counsel of the Financial Industry Regulatory Authority, Inc. issued a joint statement...more

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