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 Load more