Expungement?  Not So Fast, My Friend

Expungement?  Not So Fast, My Friend

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

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

Digital Assets: Not Quite the “Wild West”

Digital Assets: Not Quite the “Wild West”

A Strategy for Creating an Effective CAT Compliance Program

A Strategy for Creating an Effective CAT Compliance Program

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

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

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

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

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

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

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

FINRA’s April 2022 Disciplinary and Other Actions

FINRA’s April 2022 Disciplinary and Other Actions

Expungement of Complaints from Central Registration Depository

Expungement of Complaints from Central Registration Depository

Reporting to the Consolidated Audit Trail (CAT)

Reporting to the Consolidated Audit Trail (CAT)

The SEC’s 2022 Examination Priorities

The SEC’s 2022 Examination Priorities

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

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

SEC Issues Statement Regarding Form CRS Disclosures

SEC Issues Statement Regarding Form CRS Disclosures

March 2022: Disciplinary and Other FINRA Actions

March 2022: Disciplinary and Other FINRA Actions

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

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

Social Media Hygiene & Recordkeeping

Social Media Hygiene & Recordkeeping

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

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)?

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

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

FINRA’s New Maintaining Qualifications Program (MQP)

FINRA’s New Maintaining Qualifications Program (MQP)

FINRA’s Examination and Risk Monitoring Program Report Overview

FINRA’s Examination and Risk Monitoring Program Report Overview

SEC Proposes Amendments to Money Market Fund Rules

SEC Proposes Amendments to Money Market Fund Rules

SEC Division of Examination Issues Risk Alert on Robo-Advisers

SEC Division of Examination Issues Risk Alert on Robo-Advisers

SEC Division of Examinations Issues Mutual Funds, ETF Risk Alert

SEC Division of Examinations Issues Mutual Funds, ETF Risk Alert

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

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

Department of Labor Client Alert | October 2021

Department of Labor Client Alert | October 2021

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

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

Helpful Tax Tips for 2021

Helpful Tax Tips for 2021

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

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

FinCEN Issues AML/CFT Priorities

FinCEN Issues AML/CFT Priorities

Listen to the Patent Baron Podcast With Janet Hallahan

Listen to the Patent Baron Podcast With Janet Hallahan

Wrap Fee Programs Are Being Scrutinized by the SEC

Wrap Fee Programs Are Being Scrutinized by the SEC

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

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

FINRA Levies Record Fine Against Robinhood Financial

FINRA Levies Record Fine Against Robinhood Financial

SEC Releases 2021 Regulatory Agenda

SEC Releases 2021 Regulatory Agenda

The Latest Guidance from the White House Regarding Cybersecurity

The Latest Guidance from the White House Regarding Cybersecurity

SPAC Facts: What is a SPAC? | Part 1

SPAC Facts: What is a SPAC? | Part 1

Glossary of SPAC Terms

Glossary of SPAC Terms

Why I’m Disrupting the Legal Industry

Why I’m Disrupting the Legal Industry

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

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

Division of Examinations Issues Digital Asset Risk Alert

Division of Examinations Issues Digital Asset Risk Alert

Does Your Company Really Need a Privacy Notice?

Does Your Company Really Need a Privacy Notice?

New SEC Chair Confirmed

New SEC Chair Confirmed

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

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

SEC Division of Examinations Issues ESG Risk Alert

SEC Division of Examinations Issues ESG Risk Alert

Promoting De Novo Banks

Promoting De Novo Banks

Biden Administration Rescinds Policy on UDAAP Enforcement

Biden Administration Rescinds Policy on UDAAP Enforcement

SEC and FINRA Continue to Focus on AML Deficiencies

SEC and FINRA Continue to Focus on AML Deficiencies

Practus Summary: FINRA Examination Priorities for 2021

Practus Summary: FINRA Examination Priorities for 2021

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

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

MFCU Oversight Expected to Increase Due to Poor 2020 Performance

MFCU Oversight Expected to Increase Due to Poor 2020 Performance

Alexandra Alberstadt Discusses First Mutual Fund to ETF Conversion

Alexandra Alberstadt Discusses First Mutual Fund to ETF Conversion

Beware the Ides of March! And Medicare Provider Audits!

Beware the Ides of March! And Medicare Provider Audits!

Outsourced General Counsel – the virtual, cost-effective legal solution for your business

Outsourced General Counsel – the virtual, cost-effective legal solution for your business

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

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

What Is Fashion Law

What Is Fashion Law

The Lumen Sessions Podcast Featuring John Lively & Bob Elwood

The Lumen Sessions Podcast Featuring John Lively & Bob Elwood

PET Scans & Helicopter Transportation | A Monitor Mondays Feature

PET Scans & Helicopter Transportation | A Monitor Mondays Feature

Summary: SEC Adopts Amendments to Investment Adviser Marketing Rule

Summary: SEC Adopts Amendments to Investment Adviser Marketing Rule

Definition of an Advertisement Under the Investment Adviser Marketing Rule

Definition of an Advertisement Under the Investment Adviser Marketing Rule

General Prohibitions Under the Investment Adviser Marketing Rule

General Prohibitions Under the Investment Adviser Marketing Rule

Performance Presentations Under the Investment Adviser Marketing Rule

Performance Presentations Under the Investment Adviser Marketing Rule

Third-Party Ratings Under the Amended Investment Adviser Marketing Rule

Third-Party Ratings Under the Amended Investment Adviser Marketing Rule

Compliance Reviews, Form ADV Amendments & Recordkeeping

Compliance Reviews, Form ADV Amendments & Recordkeeping

Using Models and AI in Consumer Lending

Using Models and AI in Consumer Lending

Taking Stock of Threshold-Based Filing Obligations

Taking Stock of Threshold-Based Filing Obligations

Practus Attorneys Wrap Up 2020 With Several News Features

Practus Attorneys Wrap Up 2020 With Several News Features

Knicole Emanuel to Host January Webcast On PRFs and RAC Audits

Knicole Emanuel to Host January Webcast On PRFs and RAC Audits

SEC Adopts Fund Valuation Rule

SEC Adopts Fund Valuation Rule

November Monitor Mondays RAC Report Recap | Knicole Emanuel

November Monitor Mondays RAC Report Recap | Knicole Emanuel

SEC Charges Groups With Exchange-Traded Product Violations

SEC Charges Groups With Exchange-Traded Product Violations

New Rule Likely to Reduce Mutual Fund Fixed Income Cross Trades

New Rule Likely to Reduce Mutual Fund Fixed Income Cross Trades

OCIE Observations: Investment Adviser Compliance Programs

OCIE Observations: Investment Adviser Compliance Programs

Andrea Shaw on Addressing Cybercrimes | NASDAQ TradeTalks

Andrea Shaw on Addressing Cybercrimes | NASDAQ TradeTalks

Andrea Shaw on SMB Cybersecurity | NASDAQ TradeTalks

Andrea Shaw on SMB Cybersecurity | NASDAQ TradeTalks

OCIE Observations from Examinations of Investment Advisers

OCIE Observations from Examinations of Investment Advisers

Department of Labor Issues Final Rule on Fiduciary Duties

Department of Labor Issues Final Rule on Fiduciary Duties

Medicare & Medicaid Law and RAC Report Recap | Knicole Emanuel

Medicare & Medicaid Law and RAC Report Recap | Knicole Emanuel

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

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

SEC Modernizes Requirements for Derivatives and Other Transactions

SEC Modernizes Requirements for Derivatives and Other Transactions

SEC Adopts Fund of Funds Rule 12d1-4

SEC Adopts Fund of Funds Rule 12d1-4

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

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

SEC Adopts Fund Derivatives Rule

SEC Adopts Fund Derivatives Rule

SEC Enforces Action Involving Unlawful Cross Trades & Transactions

SEC Enforces Action Involving Unlawful Cross Trades & Transactions

OCC 2021 Fiscal Year Bank Supervision Operating Plan

OCC 2021 Fiscal Year Bank Supervision Operating Plan

SEC Enforcement Action On Books & Records Provision Of Advisers Act

SEC Enforcement Action On Books & Records Provision Of Advisers Act

CFTC Approves Changes to Form CPO-PQR

CFTC Approves Changes to Form CPO-PQR

September Monitor Mondays RAC Report Recap

September Monitor Mondays RAC Report Recap

SEC Enforces Compliance Program Rule Violation Against Adviser and CCO

SEC Enforces Compliance Program Rule Violation Against Adviser and CCO

SEC Proposes Amendments to Mutual Fund and ETF Disclosure Framework

SEC Proposes Amendments to Mutual Fund and ETF Disclosure Framework

SEC Modernizes Accredited Investor & QIB Definitions

SEC Modernizes Accredited Investor & QIB Definitions

August RAC Report Recap | Knicole Emanuel

August RAC Report Recap | Knicole Emanuel

John Grady’s Interview on NASDAQ Trade Talks

John Grady’s Interview on NASDAQ Trade Talks

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

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

SEC Proposed Amendments to Section 13(f) Reporting Requirements

SEC Proposed Amendments to Section 13(f) Reporting Requirements

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

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

SEC Sanctions Affiliated Advisers for Errors & Violations

SEC Sanctions Affiliated Advisers for Errors & Violations

SEC Adopts Amendments to Exemptive Applications Procedures

SEC Adopts Amendments to Exemptive Applications Procedures

SEC Adopts Securities Offering Reform for Closed-End Investment Companies

SEC Adopts Securities Offering Reform for Closed-End Investment Companies

SEC Extends In-Person Board Meeting Relief

SEC Extends In-Person Board Meeting Relief

SEC Staff Withdraws Prior No-Action Letter

SEC Staff Withdraws Prior No-Action Letter

Pressure Mounts on SEC to Set Standards

Pressure Mounts on SEC to Set Standards

The New Normal

The New Normal

Risk Management and Marketing during COVID-19

Risk Management and Marketing during COVID-19

SEC Proposes to Modernize Framework for Fund Valuation Practices

SEC Proposes to Modernize Framework for Fund Valuation Practices

Life Insurance Post COVID-19

Life Insurance Post COVID-19

Applying Client Standards in COVID-19 Environment

Applying Client Standards in COVID-19 Environment

COVID-19 Long Term Challenges on Life Insurers

COVID-19 Long Term Challenges on Life Insurers

COVID-19 Implications on the Life Insurance Industry

COVID-19 Implications on the Life Insurance Industry

OCIE Publishes Reg BI, Form CRS Risk Alerts

OCIE Publishes Reg BI, Form CRS Risk Alerts

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

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

COVID 19 Relief

COVID 19 Relief

T&M Issues Regulation Best Interest FAQs

T&M Issues Regulation Best Interest FAQs

SEC Proposes Amendments to Accredited Investor & QIB

SEC Proposes Amendments to Accredited Investor & QIB

SEC Reproposes Fund Derivatives Rule

SEC Reproposes Fund Derivatives Rule

2020 Starting Line Event Hosted by Philadelphia Team

2020 Starting Line Event Hosted by Philadelphia Team

SEC Amends Investment Adviser Advertising & Solicitation Rules

SEC Amends Investment Adviser Advertising & Solicitation Rules

SEC Staff Extends SIFMA No-Action Letter for 3 Years

SEC Staff Extends SIFMA No-Action Letter for 3 Years

SEC Issues New ETF Rule and Adopts Form Amendments

SEC Issues New ETF Rule and Adopts Form Amendments

IM Issues ADI Highlighting Fee and Performance Issues

IM Issues ADI Highlighting Fee and Performance Issues

Disclosure Innovations in Advertising and Other Communications

Disclosure Innovations in Advertising and Other Communications

Ethan Corey’s September Article In The Investment Lawyer

Ethan Corey’s September Article In The Investment Lawyer

SEC Suggests Steps to Improve Principal Risks Disclosures

SEC Suggests Steps to Improve Principal Risks Disclosures

OCIE Risk Alert for Principal & Cross Trading Compliance

OCIE Risk Alert for Principal & Cross Trading Compliance

Broker-Dealer Exemptive Relief Overview

Broker-Dealer Exemptive Relief Overview

Proxy Voting Responsibilities of Investment Advisers

Proxy Voting Responsibilities of Investment Advisers

What It Means To Be a GC

What It Means To Be a GC

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

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

Feds Nix ‘flicts for Brokers and Advisers

Feds Nix ‘flicts for Brokers and Advisers

Corporate Governance: How Delaware Law Interacts with Federal Securities

Corporate Governance: How Delaware Law Interacts with Federal Securities

Client Relationship Tips from OCIE Risk Alert on Privacy

Client Relationship Tips from OCIE Risk Alert on Privacy

Fyre Festival Victims and the Compensation Fund

Fyre Festival Victims and the Compensation Fund

Under Armour Sued for Trademark Infringement

Under Armour Sued for Trademark Infringement

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