Popular, Anti-Money Laundering, Financial Industry Regulatory Authority (FINRA)

Top 5 SEC Enforcement Developments for May 2025

Morrison & Foerster LLP on 6/25/2025

On May 14, 2025, Deputy Enforcement Director Antonia Apps told those gathered at an anti‑money laundering conference in Washington, D.C. to expect a more measured approach from SEC Enforcement. That may include, she...more

FINRA Issues 2025 Annual Regulatory Oversight Report

Carlton Fields on 2/14/2025

On January 28, 2025, FINRA issued its 2025 Annual Regulatory Oversight Report, providing a detailed look into FINRA’s current regulatory oversight of member firms and their registered personnel....more

FINRA Issues 2024 Annual Regulatory Oversight Report

Carlton Fields on 1/19/2024

FINRA issued its 2024 Annual Regulatory Oversight Report on January 9, 2024, providing a glimpse into FINRA’s current regulatory oversight of member firms and their registered personnel in 27 topic areas....more

PPP Lender Liability, Enforcement, & Fintech Challenges

Buchalter on 12/29/2023

The Paycheck Protection Program (“PPP”) emerged as a lifeline for small businesses grappling with the unprecedented challenges of the COVID-19 pandemic. Lenders navigated a landscape of regulations that Congress quickly...more

Top 5 SEC Developments (October 2023)

Morrison & Foerster LLP on 11/20/2023

Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month we examine: • Fraud and internal control failure charges against...more

Investment Management Update - November 2023

Skadden, Arps, Slate, Meagher & Flom LLP on 11/16/2023

...SEC Adopts Amendments to Fund Names Rule - On September 20, 2023, the U.S. Securities and Exchange Commission (SEC) adopted amendments to Rule 35d-1 under the Investment Company Act of 1940 (the Fund Names Rule) as well...more

FINRA Facts and Trends - September 2022

Bracewell LLP on 10/3/2022

Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This...more

FINRA Publishes 2021 Enforcement Priorities and Exam Findings Report

Bressler, Amery & Ross, P.C. on 2/4/2021

Earlier this week, FINRA published its 2021 Report on FINRA’s Examination and Risk Monitoring Program (the “Report”). The Report, which combines FINRA’s prior publications on regulatory priorities and examination findings,...more

Blockchain Week in Review - December 2020 #2

Perkins Coie on 12/16/2020

U.S. Developments - Members of Congress Request SEC Clarity On Digital Securities Custody - On December 9, a bipartisan group of representatives penned a letter to SEC Chairman Jay Clayton regarding the issue of...more

Interactive Brokers LLC Submits to SEC, FINRA, and CFTC Penalties Totalling $38 Over Widespread AML Failures

Mintz - Securities & Capital Markets... on 8/24/2020

Interactive Brokers LLC (“Interactive Brokers”) recently settled with three separate regulatory entities for a total of $38 million, without admitting or denying the findings. According to the SEC, Interactive Brokers failed...more

Videocast: Asset management regulation in 2020 videocast series – FinTech initiatives

Eversheds Sutherland (US) LLP on 3/2/2020

Asset managers will need to consider how FinTech developments impact their business model in 2020, including developments related to digital asset securities, cryptocurrency-based ETFs and blockchain. In this Bottom Line...more

Cyber Still Atop Exam Priorities

Burr & Forman on 2/27/2020

FINRA held its bi-annual Cybersecurity Conference in January and recently published five take-away real-world experiences from the conference...more

2020 SEC and FINRA Examination Priorities and Cybersecurity Observations

Nelson Mullins Riley & Scarborough LLP on 2/26/2020

During January of 2020, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) issued two reports that highlight the work and priorities of OCIE: on January 7, 2020, OCIE issued...more

Blockchain Week in Review - August 2019 #4

Perkins Coie on 9/10/2019

U.S. Developments - Enforcement and Litigation Developments - Craig Wright Faces Sanctions - Craig Wright, the self-proclaimed inventor of Bitcoin, has been tied up in litigation since February 2018 related to his...more

Blockchain Week in Review - June 2019 #3

Perkins Coie on 6/27/2019

U.S. Developments - Facebook Announces Formation of Calibra and Launch of Libra - On June 18, 2019, Facebook announced the launch of Libra, a new cryptocurrency designed to have a stable value and be widely accepted...more

Blockchain Week in Review - June 2019 #2

Perkins Coie on 6/19/2019

U.S. Developments - Regulatory Developments - SEC Chair’s Recent Comments on Digital Assets - Securities and Exchange Commission (“SEC”) Chairman Jay Clayton touched on digital asset issues during two recent...more

Novel Concerns in FINRA's 2019 Risk Monitoring and Examination Priorities Letter

King & Spalding on 2/22/2019

On January 22, 2019, FINRA released its 2019 Annual Risk Monitoring and Examination Priorities Letter (the “Priorities Letter”). Late last year, as part of FINRA360 – the organization’s ongoing improvement initiative – FINRA...more

Investment Management Update

Ballard Spahr LLP on 2/15/2019

The Securities and Exchange Commission (SEC) has proposed a new rule and related amendments designed to streamline and enhance the regulatory framework for "fund of funds" arrangements....more

SEC’s Office of Compliance Inspections and Examinations Announces 2019 Examination Priorities

A&O Shearman on 1/15/2019

The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) has issued its examination priorities for 2019. In it, OCIE points out that its examination program covers some 13,200...more

Blockchain Week in Review - October 2018

Perkins Coie on 10/9/2018

U.S. Developments - Federal Bank Regulators Issue Joint Statement on Collaborative BSA/AML Compliance - On October 3, 2018, a group of federal bank regulators and the Financial Crimes Enforcement Network (“FinCEN”)...more

SEC & FINRA: Shared Regulatory Priorities for 2018

Baker Donelson on 3/5/2018

Each year, both the United States Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) issue guidance concerning their regulatory priorities for the coming year. This year, FINRA...more

SEC, FINRA Target ICOs, Cybersecurity, Secondary Market Trading in 2018 Examination Priorities

Herbert Smith Freehills Kramer on 3/2/2018

Both the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) recently released their respective 2018 examination priorities, providing a glimpse into their plans for the year to...more

The SEC’s Office of Compliance Inspections and Examinations and FINRA Announce 2018 Examination and Regulatory Priorities

K&L Gates LLP on 2/14/2018

On January 8 and February 7, 2018, respectively, the Financial Industry Regulatory Authority (“FINRA”) and the Office of Compliance Inspections and Examinations (“OCIE”) of the U.S. Securities and Exchange Commission (“SEC”)...more

SEC 2018 National Exam Program Examination Priorities

McGuireWoods LLP on 2/13/2018

On Feb. 7, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released its 2018 National Exam Program Examination Priorities (NEPEP). The NEPEP are organized around five themes,...more

2016 Year in Review: Select SEC and FINRA Developments and Enforcement Cases

Morgan Lewis on 3/1/2017

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

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