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SEC Brings First Ever Reg. BI Litigation Against Broker-Dealer and its Personnel

June 28, 2022

Our recent client alert discusses the complaint the SEC recently filed, which marks the first charges the agency has brought under Regulation Best Interest, the SEC’s landmark ruling from 2019.

The post SEC Brings First Ever Reg. BI Litigation Against Broker-Dealer and its Personnel appeared first on FinReg + Policy Watch.

SEC Proposes ESG Disclosure Rules for Investment Advisers and Investment Companies

June 2, 2022

Wall Street Firms Make Crypto Push to Catch Up With ‘Cool Kids’

April 25, 2022

Texas Securities Sheriff Wrangles Metaverse Gambles

April 22, 2022

SEC Staff Provides Guidance on Broker-Dealer and Investment Adviser Standards of Conduct for Account and Rollover Recommendations to Retail Investors

April 22, 2022

White House Issues Crypto Executive Order

March 21, 2022

SEC Proposes Expanded and Accelerated Cybersecurity Disclosures for Public Companies

March 16, 2022

SEC Proposes Radical Changes to Private Fund Regulation

February 15, 2022

SEC Focus on Cybersecurity Begins to Take Shape

February 15, 2022

SEC Proposes Rules that Could Regulate DeFi, Extend to Aspects of Centralized Crypto Exchanges

January 31, 2022