LEGAL INSIGHTS

Yet Another Assortment of . . . Financial Services, Legal Insights
MAY 22, 2023

Yet Another Assortment of . . .

More Thoughts, Ideas and uh, Brain Droppings Financial Services, Legal Insights
APR 30, 2023

More Thoughts, Ideas and uh, Brain Droppings

The Future of Cryptocurrency Legal Insights, Technology
APR 24, 2023

The Future of Cryptocurrency

Another Batch of Brain Droppings Legal Insights
MAR 21, 2023

Another Batch of Brain Droppings

My January Brain Droppings by Ryan Smith Legal Insights
FEB 21, 2023

My January Brain Droppings by Ryan Smith

Even More Brain Droppings | Broker-Dealer Edition Legal Insights
JAN 30, 2023

Even More Brain Droppings | Broker-Dealer Edition

Even More Brain Droppings | Consolidated Audit Trail (CAT) Edition Legal Insights
DEC 29, 2022

Even More Brain Droppings | Consolidated Audit Trail (CAT) Edition

More Brain Droppings | Digital Assets Edition Legal Insights
NOV 30, 2022

More Brain Droppings | Digital Assets Edition

What laws govern mobile health apps? It depends.   Healthcare, Legal Insights
OCT 27, 2022

What laws govern mobile health apps? It depends.  

FINRA Revises Its Sanctions Guidelines Financial Services, Legal Insights
OCT 21, 2022

FINRA Revises Its Sanctions Guidelines

BDs And RIAs Need To Ensure That They Are Complying With Reg S-P Financial Services, Legal Insights
OCT 20, 2022

BDs And RIAs Need To Ensure That They Are Complying With Reg S-P

With Apologies to George Carlin Legal Insights
OCT 18, 2022

With Apologies to George Carlin

SEC Issues Risk Alert on New Investment Adviser Marketing Rule Financial Services, Legal Insights
OCT 04, 2022

SEC Issues Risk Alert on New Investment Adviser Marketing Rule

Expungement?  Not So Fast, My Friend Legal Insights
AUG 31, 2022

Expungement?  Not So Fast, My Friend

Is the Past Prologue? FINRA Permits Remote Inspections . . . For Now Legal Insights
JUL 14, 2022

Is the Past Prologue? FINRA Permits Remote Inspections . . . For Now

Digital Assets: Not Quite the “Wild West” Legal Insights
JUN 13, 2022

Digital Assets: Not Quite the “Wild West”

A Strategy for Creating an Effective CAT Compliance Program Legal Insights
JUN 07, 2022

A Strategy for Creating an Effective CAT Compliance Program

Another Reminder of FINRA’s Expectations (Regulatory Notice 22-11) Legal Insights
MAY 16, 2022

Another Reminder of FINRA’s Expectations (Regulatory Notice 22-11)

Words That Define Modern Law Firms: Virtual, Distributed & Hybrid Law Legal Insights
MAY 06, 2022

Words That Define Modern Law Firms: Virtual, Distributed & Hybrid Law

EXAMS’ Risk Alert on Advisers Act Section 204A and the Code of Ethics Rule Legal Insights
MAY 05, 2022

EXAMS’ Risk Alert on Advisers Act Section 204A and the Code of Ethics Rule

SEC Risk Alert Focuses on Deficiencies Concerning Material Non-Public Information Legal Insights
MAY 04, 2022

SEC Risk Alert Focuses on Deficiencies Concerning Material Non-Public Information

FINRA’s April 2022 Disciplinary and Other Actions Legal Insights
MAY 03, 2022

FINRA’s April 2022 Disciplinary and Other Actions

Expungement of Complaints from Central Registration Depository Legal Insights
MAY 01, 2022

Expungement of Complaints from Central Registration Depository

Reporting to the Consolidated Audit Trail (CAT) Legal Insights
APR 19, 2022

Reporting to the Consolidated Audit Trail (CAT)

The SEC’s 2022 Examination Priorities Legal Insights
APR 12, 2022

The SEC’s 2022 Examination Priorities

What’s Good for the Goose is Good for the Gander! Legal Insights
APR 11, 2022

What’s Good for the Goose is Good for the Gander!

SEC Issues Statement Regarding Form CRS Disclosures Legal Insights
APR 08, 2022

SEC Issues Statement Regarding Form CRS Disclosures

March 2022: Disciplinary and Other FINRA Actions Legal Insights
APR 07, 2022

March 2022: Disciplinary and Other FINRA Actions

Division of Examinations Issues Risk Alert on Observations from Examinations of Private Fund Advisers Legal Insights
APR 07, 2022

Division of Examinations Issues Risk Alert on Observations from Examinations of Private Fund Advisers

Social Media Hygiene & Recordkeeping Legal Insights
APR 06, 2022

Social Media Hygiene & Recordkeeping

UDAAP as a Tool to Prevent Discrimination in Non-Lending Transactions Legal Insights
APR 06, 2022

UDAAP as a Tool to Prevent Discrimination in Non-Lending Transactions

So, You Want to be a CCO of a Broker-Dealer (Regulatory Notice 22-10)? Legal Insights
MAR 23, 2022

So, You Want to be a CCO of a Broker-Dealer (Regulatory Notice 22-10)?

Practus Pointer: OCC Banks Have Until April 1 to Revise CRA Public Notice & File Legal Insights
MAR 23, 2022

Practus Pointer: OCC Banks Have Until April 1 to Revise CRA Public Notice & File

FINRA’s New Maintaining Qualifications Program (MQP) Legal Insights
MAR 23, 2022

FINRA’s New Maintaining Qualifications Program (MQP)

FINRA’s Examination and Risk Monitoring Program Report Overview Legal Insights
MAR 16, 2022

FINRA’s Examination and Risk Monitoring Program Report Overview

SEC Proposes Amendments to Money Market Fund Rules Legal Insights
FEB 12, 2022

SEC Proposes Amendments to Money Market Fund Rules

SEC Division of Examination Issues Risk Alert on Robo-Advisers Legal Insights
NOV 18, 2021

SEC Division of Examination Issues Risk Alert on Robo-Advisers

SEC Division of Examinations Issues Mutual Funds, ETF Risk Alert Legal Insights
NOV 09, 2021

SEC Division of Examinations Issues Mutual Funds, ETF Risk Alert

Why Outsourcing Your GC Isn’t Like Outsourcing Other Key Executives Legal Insights, Outsourced General Counsel
NOV 03, 2021

Why Outsourcing Your GC Isn’t Like Outsourcing Other Key Executives

Department of Labor Client Alert | October 2021 Legal Insights
OCT 22, 2021

Department of Labor Client Alert | October 2021

FINRA Issues Regulatory Notice to Inform Firms of FinCEN’s AML/CFT Priorities Legal Insights
OCT 18, 2021

FINRA Issues Regulatory Notice to Inform Firms of FinCEN’s AML/CFT Priorities

Helpful Tax Tips for 2021 Legal Insights
OCT 14, 2021

Helpful Tax Tips for 2021

“Money & Infrastructure – A Primer” by Robert Fried Featured on ATLP Legal Insights
AUG 26, 2021

“Money & Infrastructure – A Primer” by Robert Fried Featured on ATLP

FinCEN Issues AML/CFT Priorities Legal Insights
AUG 11, 2021

FinCEN Issues AML/CFT Priorities

Listen to the Patent Baron Podcast With Janet Hallahan Legal Insights
AUG 09, 2021

Listen to the Patent Baron Podcast With Janet Hallahan

Wrap Fee Programs Are Being Scrutinized by the SEC Legal Insights
JUL 30, 2021

Wrap Fee Programs Are Being Scrutinized by the SEC

SEC Staff Again Focuses on Principal and Cross Trades In Latest Risk Alert Legal Insights
JUL 22, 2021

SEC Staff Again Focuses on Principal and Cross Trades In Latest Risk Alert

FINRA Levies Record Fine Against Robinhood Financial Legal Insights
JUL 09, 2021

FINRA Levies Record Fine Against Robinhood Financial

SEC Releases 2021 Regulatory Agenda Legal Insights
JUL 01, 2021

SEC Releases 2021 Regulatory Agenda

The Latest Guidance from the White House Regarding Cybersecurity Legal Insights
JUN 11, 2021

The Latest Guidance from the White House Regarding Cybersecurity

SPAC Facts: What is a SPAC? | Part 1 Legal Insights
JUN 03, 2021

SPAC Facts: What is a SPAC? | Part 1

Glossary of SPAC Terms Legal Insights
JUN 03, 2021

Glossary of SPAC Terms

Why I’m Disrupting the Legal Industry Legal Insights, Work-Life Balance
JUN 03, 2021

Why I’m Disrupting the Legal Industry

EEOC Issues Updated Guidance to Employers Related to COVID-19 Vaccines Legal Insights
JUN 02, 2021

EEOC Issues Updated Guidance to Employers Related to COVID-19 Vaccines

Division of Examinations Issues Digital Asset Risk Alert Legal Insights
MAY 19, 2021

Division of Examinations Issues Digital Asset Risk Alert

Does Your Company Really Need a Privacy Notice? Legal Insights
MAY 10, 2021

Does Your Company Really Need a Privacy Notice?

New SEC Chair Confirmed Legal Insights
MAY 10, 2021

New SEC Chair Confirmed

Why Broker-Dealers & Investment Advisers Should Care About Privacy & Cybersecurity Legal Insights
MAY 10, 2021

Why Broker-Dealers & Investment Advisers Should Care About Privacy & Cybersecurity

SEC Division of Examinations Issues ESG Risk Alert Financial Services, Legal Insights
APR 21, 2021

SEC Division of Examinations Issues ESG Risk Alert

Promoting De Novo Banks Legal Insights
APR 21, 2021

Promoting De Novo Banks

Biden Administration Rescinds Policy on UDAAP Enforcement Legal Insights
APR 11, 2021

Biden Administration Rescinds Policy on UDAAP Enforcement

SEC and FINRA Continue to Focus on AML Deficiencies Legal Insights
APR 11, 2021

SEC and FINRA Continue to Focus on AML Deficiencies

Practus Summary: FINRA Examination Priorities for 2021 Financial Services, Legal Insights
APR 03, 2021

Practus Summary: FINRA Examination Priorities for 2021

SEC’s Division Of Examinations Issues 2021 National Examination Program Priorities Legal Insights
MAR 28, 2021

SEC’s Division Of Examinations Issues 2021 National Examination Program Priorities

MFCU Oversight Expected to Increase Due to Poor 2020 Performance Legal Insights
MAR 23, 2021

MFCU Oversight Expected to Increase Due to Poor 2020 Performance

A Review of the First Mutual Fund to ETF Conversion Legal Insights, Practus News
MAR 16, 2021

A Review of the First Mutual Fund to ETF Conversion

Beware the Ides of March! And Medicare Provider Audits! Legal Insights
MAR 16, 2021

Beware the Ides of March! And Medicare Provider Audits!

The First Mutual Fund to ETF Conversion on Behalf of SmartETFs is Underway Legal Insights, Practus News
MAR 01, 2021

The First Mutual Fund to ETF Conversion on Behalf of SmartETFs is Underway

What Is Fashion Law Legal Insights
FEB 15, 2021

What Is Fashion Law

The Lumen Sessions Podcast Featuring John Lively & Bob Elwood Legal Insights
FEB 09, 2021

The Lumen Sessions Podcast Featuring John Lively & Bob Elwood

PET Scans & Helicopter Transportation | A Monitor Mondays Feature Legal Insights
FEB 09, 2021

PET Scans & Helicopter Transportation | A Monitor Mondays Feature

Summary: SEC Adopts Amendments to Investment Adviser Marketing Rule Financial Services, Legal Insights
JAN 27, 2021

Summary: SEC Adopts Amendments to Investment Adviser Marketing Rule

Definition of an Advertisement Under the Investment Adviser Marketing Rule Financial Services, Legal Insights
JAN 27, 2021

Definition of an Advertisement Under the Investment Adviser Marketing Rule

General Prohibitions Under the Investment Adviser Marketing Rule Financial Services, Legal Insights
JAN 27, 2021

General Prohibitions Under the Investment Adviser Marketing Rule

Performance Presentations Under the Investment Adviser Marketing Rule Financial Services, Legal Insights
JAN 27, 2021

Performance Presentations Under the Investment Adviser Marketing Rule

Third-Party Ratings Under the Amended Investment Adviser Marketing Rule Financial Services, Legal Insights
JAN 27, 2021

Third-Party Ratings Under the Amended Investment Adviser Marketing Rule

Compliance Reviews, Form ADV Amendments & Recordkeeping Financial Services, Legal Insights
JAN 27, 2021

Compliance Reviews, Form ADV Amendments & Recordkeeping

Using Models and AI in Consumer Lending Legal Insights
JAN 25, 2021

Using Models and AI in Consumer Lending

Taking Stock of Threshold-Based Filing Obligations Legal Insights
JAN 17, 2021

Taking Stock of Threshold-Based Filing Obligations

Practus Attorneys Wrap Up 2020 With Several News Features Legal Insights, Practus News
JAN 07, 2021

Practus Attorneys Wrap Up 2020 With Several News Features

SEC Adopts Fund Valuation Rule Legal Insights
DEC 30, 2020

SEC Adopts Fund Valuation Rule

SEC Charges Groups With Exchange-Traded Product Violations Legal Insights
DEC 09, 2020

SEC Charges Groups With Exchange-Traded Product Violations

New Rule Likely to Reduce Mutual Fund Fixed Income Cross Trades Legal Insights
DEC 08, 2020

New Rule Likely to Reduce Mutual Fund Fixed Income Cross Trades

OCIE Observations: Investment Adviser Compliance Programs Financial Services, Legal Insights
DEC 03, 2020

OCIE Observations: Investment Adviser Compliance Programs

Andrea Shaw on Addressing Cybercrimes | NASDAQ TradeTalks Legal Insights, Nasdaq Interviews
NOV 23, 2020

Andrea Shaw on Addressing Cybercrimes | NASDAQ TradeTalks

Andrea Shaw on SMB Cybersecurity | NASDAQ TradeTalks Legal Insights, Nasdaq Interviews
NOV 22, 2020

Andrea Shaw on SMB Cybersecurity | NASDAQ TradeTalks

OCIE Observations from Examinations of Investment Advisers Legal Insights
NOV 22, 2020

OCIE Observations from Examinations of Investment Advisers

Department of Labor Issues Final Rule on Fiduciary Duties Legal Insights
NOV 16, 2020

Department of Labor Issues Final Rule on Fiduciary Duties

Q&A: SEC Modernizes Fund Derivatives Rule 18f-4 Financial Services, Legal Insights
NOV 10, 2020

Q&A: SEC Modernizes Fund Derivatives Rule 18f-4

SEC Modernizes Requirements for Derivatives and Other Transactions Legal Insights
NOV 10, 2020

SEC Modernizes Requirements for Derivatives and Other Transactions

SEC Adopts Fund of Funds Rule 12d1-4 Legal Insights
NOV 09, 2020

SEC Adopts Fund of Funds Rule 12d1-4

Designing a Non-US Investor’s US Loan Investment Program Legal Insights
NOV 05, 2020

Designing a Non-US Investor’s US Loan Investment Program

SEC Adopts Fund Derivatives Rule Legal Insights
OCT 30, 2020

SEC Adopts Fund Derivatives Rule

SEC Enforces Action Involving Unlawful Cross Trades & Transactions Legal Insights
OCT 30, 2020

SEC Enforces Action Involving Unlawful Cross Trades & Transactions

OCC 2021 Fiscal Year Bank Supervision Operating Plan Legal Insights
OCT 21, 2020

OCC 2021 Fiscal Year Bank Supervision Operating Plan

SEC Enforcement Action On Books & Records Provision Of Advisers Act Legal Insights
OCT 18, 2020

SEC Enforcement Action On Books & Records Provision Of Advisers Act

CFTC Approves Changes to Form CPO-PQR Legal Insights
OCT 09, 2020

CFTC Approves Changes to Form CPO-PQR

SEC Enforces Compliance Program Rule Violation Against Adviser and CCO Legal Insights
SEP 27, 2020

SEC Enforces Compliance Program Rule Violation Against Adviser and CCO

SEC Proposes Amendments to Mutual Fund and ETF Disclosure Framework Legal Insights
SEP 20, 2020

SEC Proposes Amendments to Mutual Fund and ETF Disclosure Framework

SEC Modernizes Accredited Investor & QIB Definitions Legal Insights
SEP 17, 2020

SEC Modernizes Accredited Investor & QIB Definitions

John Grady’s Interview on NASDAQ Trade Talks Legal Insights, Nasdaq Interviews, Practus News
SEP 01, 2020

John Grady’s Interview on NASDAQ Trade Talks

OCIE Issues Risk Alert About Compliance in the COVID-19 Era Financial Services, Legal Insights
AUG 18, 2020

OCIE Issues Risk Alert About Compliance in the COVID-19 Era

SEC Proposed Amendments to Section 13(f) Reporting Requirements Legal Insights
JUL 29, 2020

SEC Proposed Amendments to Section 13(f) Reporting Requirements

The US Department of Labor’s new “Investment Duties” rule Legal Insights
JUL 28, 2020

The US Department of Labor’s new “Investment Duties” rule

SEC Sanctions Affiliated Advisers for Errors & Violations Legal Insights
JUL 22, 2020

SEC Sanctions Affiliated Advisers for Errors & Violations

SEC Adopts Amendments to Exemptive Applications Procedures Legal Insights
JUL 11, 2020

SEC Adopts Amendments to Exemptive Applications Procedures

SEC Adopts Securities Offering Reform for Closed-End Investment Companies Legal Insights
JUL 06, 2020

SEC Adopts Securities Offering Reform for Closed-End Investment Companies

SEC Extends In-Person Board Meeting Relief Legal Insights
JUN 23, 2020

SEC Extends In-Person Board Meeting Relief

SEC Staff Withdraws Prior No-Action Letter Legal Insights
JUN 18, 2020

SEC Staff Withdraws Prior No-Action Letter

Pressure Mounts on SEC to Set Standards Legal Insights, Practus News
JUN 17, 2020

Pressure Mounts on SEC to Set Standards

The New Normal Legal Insights
MAY 27, 2020

The New Normal

Risk Management and Marketing during COVID-19 Legal Insights
MAY 18, 2020

Risk Management and Marketing during COVID-19

SEC Proposes to Modernize Framework for Fund Valuation Practices Legal Insights
MAY 15, 2020

SEC Proposes to Modernize Framework for Fund Valuation Practices

Life Insurance Post COVID-19 Legal Insights
MAY 13, 2020

Life Insurance Post COVID-19

Applying Client Standards in COVID-19 Environment Legal Insights
MAY 10, 2020

Applying Client Standards in COVID-19 Environment

COVID-19 Long Term Challenges on Life Insurers Legal Insights
APR 27, 2020

COVID-19 Long Term Challenges on Life Insurers

COVID-19 Implications on the Life Insurance Industry Legal Insights
APR 19, 2020

COVID-19 Implications on the Life Insurance Industry

OCIE Publishes Reg BI, Form CRS Risk Alerts Legal Insights
APR 16, 2020

OCIE Publishes Reg BI, Form CRS Risk Alerts

SEC Explores Improving Rule 35d-1 for Socially Responsible Investments Legal Insights
APR 14, 2020

SEC Explores Improving Rule 35d-1 for Socially Responsible Investments

COVID 19 Relief Legal Insights
APR 08, 2020

COVID 19 Relief

T&M Issues Regulation Best Interest FAQs Legal Insights
MAR 06, 2020

T&M Issues Regulation Best Interest FAQs

SEC Proposes Amendments to Accredited Investor & QIB Legal Insights
JAN 17, 2020

SEC Proposes Amendments to Accredited Investor & QIB

SEC Reproposes Fund Derivatives Rule Legal Insights
JAN 13, 2020

SEC Reproposes Fund Derivatives Rule

2020 Starting Line Event Hosted by Philadelphia Team Legal Insights, Practus News
JAN 07, 2020

2020 Starting Line Event Hosted by Philadelphia Team

SEC Amends Investment Adviser Advertising & Solicitation Rules Legal Insights
DEC 12, 2019

SEC Amends Investment Adviser Advertising & Solicitation Rules

SEC Staff Extends SIFMA No-Action Letter for 3 Years Legal Insights
NOV 25, 2019

SEC Staff Extends SIFMA No-Action Letter for 3 Years

SEC Issues New ETF Rule and Adopts Form Amendments Legal Insights
NOV 22, 2019

SEC Issues New ETF Rule and Adopts Form Amendments

IM Issues ADI Highlighting Fee and Performance Issues Legal Insights
OCT 11, 2019

IM Issues ADI Highlighting Fee and Performance Issues

Disclosure Innovations in Advertising and Other Communications Legal Insights
OCT 04, 2019

Disclosure Innovations in Advertising and Other Communications

Featured Article In The Investment Lawyer Legal Insights, Practus News
SEP 25, 2019

Featured Article In The Investment Lawyer

SEC Suggests Steps to Improve Principal Risks Disclosures Legal Insights
SEP 20, 2019

SEC Suggests Steps to Improve Principal Risks Disclosures

OCIE Risk Alert for Principal & Cross Trading Compliance Legal Insights
SEP 12, 2019

OCIE Risk Alert for Principal & Cross Trading Compliance

Broker-Dealer Exemptive Relief Overview Legal Insights
SEP 10, 2019

Broker-Dealer Exemptive Relief Overview

Proxy Voting Responsibilities of Investment Advisers Legal Insights
SEP 10, 2019

Proxy Voting Responsibilities of Investment Advisers

What It Means To Be a GC Legal Insights, Outsourced General Counsel, Virtual Law
AUG 26, 2019

What It Means To Be a GC

Mother, May I? The SEC Declares War on the Use of “May” Legal Insights
AUG 21, 2019

Mother, May I? The SEC Declares War on the Use of “May”

Feds Nix ‘flicts for Brokers and Advisers Legal Insights
AUG 13, 2019

Feds Nix ‘flicts for Brokers and Advisers

Corporate Governance: How Delaware Law Interacts with Federal Securities Legal Insights
APR 24, 2019

Corporate Governance: How Delaware Law Interacts with Federal Securities

Client Relationship Tips from OCIE Risk Alert on Privacy Legal Insights
APR 03, 2019

Client Relationship Tips from OCIE Risk Alert on Privacy

Fyre Festival Victims and the Compensation Fund Legal Insights
MAR 17, 2019

Fyre Festival Victims and the Compensation Fund

Under Armour Sued for Trademark Infringement Legal Insights
FEB 19, 2018

Under Armour Sued for Trademark Infringement

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