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Employee Retirement Income Security Act (ERISA) › Financial Services Industry › Financial Industry Regulatory Authority (FINRA)

Carlton Fields

Expect Focus - Volume III, August 2025

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At the beginning of July, SEC Chair Paul Atkins painted a picture: tokenization was the “next step” in the evolution of securities. Generally, tokenization entails creating a digital representation of a real-world asset —...more

Carlton Fields

Expect Focus - Volume III, September 2023

Carlton Fields on

Regulators Hit Jackpot: Off-Channel Communications - Several years before announcing the first “off-channel” communications enforcement action, the SEC and FINRA cautioned broker-dealers and investment advisers about...more

Epstein Becker & Green

Five Developing Trends Financial Services Employers Need to Know - Take 5 Newsletter

Epstein Becker & Green on

As certain long-standing issues of interest to financial services employers seem to be receiving a degree of reactive attention, other cutting-edge issues continue to force such employers to revisit and update policies to...more

Latham & Watkins LLP

US Department of Labor’s Fiduciary Rule Introduces a Brave New World

Latham & Watkins LLP on

Final rule reflects some concessions, but its broad scope and compliance costs will cause financial services advisers to re-evaluate their business models. On April 6, 2016, the US Department of Labor (the DOL) released...more

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