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
August 24, 2020
SEC OCIE Issues Risk Alert on COVID-19 Compliance Risks and Considerations for Broker-Dealers and Investment Advisers
July 17, 2020
SEC OCIE Issues Cybersecurity Risk Alert on Ransomware
April 15, 2020
SEC OCIE Issues Risk Alert Regarding Examinations that Focus on Compliance with Form CRS