Compliance Needs are Alive and Well: FTC's Recent Enforcement Activity
2024 Payments Year in Review: CFPB and FTC Regulatory Trends – Part One — Payments Pros – The Payments Law Podcast
Hidden Fees in the Live-Event Ticketing and Short-Term Lodging Industries
Recent Developments in California's Arbitration Landscape — FCRA Focus Podcast
(Podcast) The Briefing – Fake Reviews, Real Consequences: Consumer Review Dos and Don’ts
The Briefing – Fake Reviews, Real Consequences: Consumer Review Dos and Don’ts
California Employment News: Understanding the FTC Non-Compete Ban Key Insights for Employers
California Employment News: Understanding the FTC Non-Compete Ban Key Insights for Employers (Podcast)
PODCAST: Williams Mullen's Benefits Companion - IRS Clarifies Emergency Distributions Tax Exceptions
Sustainable Procurement: A Closer Look at the New Federal Acquisition Regulation (FAR)
DE Under 3: Retirement of “Chevron Doctrine” Exposed Vulnerability of OFCCP’s Overreaching Interpretations of Some of its Rules
Navigating Mass Arbitration: New Rules and Strategies — The Consumer Finance Podcast
Tackling Credit Push Fraud: Understanding Nacha's Risk Management Package (Part One) — Payments Pros: The Payments Law Podcast
Protecting Our Nation’s Data: Cybersecurity Compliance for Government Contractors
The Burr Broadcast: New Independent Contractor Rule
#WorkforceWednesday: The Department of Labor's New Rules and Rising Challenges - Employment Law This Week®
PLI's inSecurities Podcast - Addressing the “Netflix Problem” in Securities Regulation
New SEC Private Funds Rules – What Is Happening and What You Need to Know - Troutman Pepper Podcast
Episode 288 -- SEC Adopts Robust New Cybersecurity Disclosure Rules
[Podcast] The FTC Safeguards Rule: A Deep Dive into the Revisions Effective June 9, 2023
On June 11, 2025, FINRA proposed amendments to Rule 3220 (Influencing or Rewarding Employees of Others) (the “Gifts Rule”) that would raise the annual gift limit per recipient to $250 from $100, as well as codifying...more
These days, artificial intelligence is everywhere we look, and the financial services industry is no different. As AI use increases, regulatory bodies are updating their rules and guidelines detailing how companies should and...more
Covered institutions will need to review their cybersecurity and incident response policies and procedures ahead of the applicable compliance deadline. ...more
As addressing cybersecurity issues continues to become a top priority throughout the financial industry, the U.S. Securities and Exchange Commission (SEC) is following suit. The SEC unanimously voted to approve a new set of...more
Starting May 28, 2024, the settlement cycle for most transactions in U.S. securities will shorten from T+2 to T+1 as a result of rule amendments adopted by the Securities and Exchange Commission (SEC).1 The SEC also adopted a...more
Who may be interested: Registered-Investment Companies; Investment Advisers; Broker-Dealers - Quick Take: In May 2023, the SEC adopted several Rules and Rule amendments which, among other things, shorten the standard...more
On August 23, 2023, the US Securities & Exchange Commission (SEC) adopted new and amended rules (the New Rules) under the Investment Advisers Act of 1940 (Advisers Act) that focus on the SEC’s desire to address what it views...more
This article focuses on how the new Rule 206(4)-1 (the “Marketing Rule”) under the Investment Advisers Act of 1940 (the “Advisers Act”) affects the relationships between investment advisers registered with the U.S. Securities...more
Key Takeaways: ..After years of warning firms of the need for enhanced diligence in retaining or hiring brokers with a significant history of misconduct, FINRA has adopted new rules to address such brokers. ..As set...more
Just before the Holidays, I attended FINRA’s one-day Reg BI seminar in Washington D.C., where member firms and regulators (but primarily the SEC) discussed the new rule and what they hoped it meant for the industry. As you...more
On June 5, 2019, the Securities and Exchange Commission voted to adopt a package of rulemakings and interpretations, including (i) a new rule creating a standard of conduct for broker-dealers when recommending securities to...more
On June 5, 2019, the SEC voted to adopt a package of rules and interpretations related to standards of conduct for broker-dealers and investment advisers, including new rule Regulation Best Interest, new Form CRS, an...more