January 17, 2023
New Omnibus Bill Codifies M&A Broker-Dealer SEC Registration Exemption
January 4, 2022
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
January 8, 2021
SEC Permits Specialized Broker-Dealers to Custody Digital Asset Securities
November 6, 2020
Reminder: 2021 IARD Renewal Program
November 6, 2020
SEC Approves Proposed Order Exempting Certain Finders from Broker Registration Requirements