September 11, 2023
SEC Charges FinTech Investment Adviser with First Violation of the Marketing Rule and Additional Compliance Violations
August 25, 2023
The SEC Adopts Final Rules Regarding the Regulation of Private Fund Advisers
July 17, 2023
Expiration of SEC Staff’s No Action Letters Providing Relief to Broker-Dealers Regarding MiFID II Research Requirements
January 17, 2023
New Omnibus Bill Codifies M&A Broker-Dealer SEC Registration Exemption
January 4, 2023
Memo to Clients 2023 – Annual Reminders
December 15, 2022
SEC Proposes Amendments to Best-Execution Rule
June 28, 2022
SEC Files First Reg BI Action Against Broker-Dealer
May 19, 2022
SEC Proposes New Rules to Expand the Definition of Dealer and Government Securities Dealer
February 4, 2022
Memo to Clients 2022 – Annual Reminders
January 26, 2022
SEC Sanctions Broker-Dealer for Alternative Trading System Disclosure Failures
August 17, 2021
SEC Settles Charges with 27 Registered Investment Advisers and Broker-Dealers for Failing to Timely File and Deliver Form CRS
August 13, 2021
FINRA: Adding or Removing a Bank from a Sweep Program Requires 30 Days’ Notice
June 17, 2021
Jack Yoskowitz and Valentino Vasi Participate in Risk & Compliance Expert Panel on the New US Anti-Money Laundering Act
March 11, 2021
SEC Division of Examinations Issues Risk Alert on Digital Asset Securities
January 21, 2021
ESG Spotlight Series: Sustainable Finance Disclosures Regulation (SFDR): Applicability for U.S. Managers