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 Load more