FINRA Provides Guidelines for Member Firms Engaging in Activities Related to Digital Assets

SEC Guidance on Broker-Dealer and Investment Adviser Fiduciary Standards – An Industry Tailored Solution

Europe’s GDPR May Affect Your Business and the Deadline is Approaching

DOL Announces It Will Not Enforce Fiduciary Rule Pending Review of Fifth Circuit Decision Striking Down Rule

Full and Fair Disclosure: Regulatory Disclosure Guidance Relating to Digital Asset Activities

DOL Rule To Be Erased From the Federal Register?

SEC Suspends Trading in Three Issuers Claiming Involvement in Cryptocurrency and Blockchain Technology

The SEC and the CFTC – One Voice Cautiously Optimistic

Sadis & Goldberg LLP Obtains Victory for Bareburger Co-Founder: A Cautionary Tale for Business Divorce

SEC Announces 2018 Examination Priorities

FINRA Releases 2018 Regulatory and Exam Priorities Letter: Focus on ICOs, Cryptocurrencies and Protecting Seniors

NFA Releases Additional Reporting Requirements for CPOs and CTAs that Trade Virtual Currency Products

Compliance Deadlines – First Quarter 2018

NFA Provides Guidance on Annual Affirmation Requirement for Entities Currently Operating Under an Exemption from CPO or CTA Registration

2018 FINRA Renewals Deadline Approaching

SEC Grants No-Action Relief for MiFID II Research Payment Accounts Under Section 28(e)

Marketing in the US for European and Asian Managers

Compliance Deadlines – Fourth Quarter 2017

Recent SEC Observations from Cybersecurity Examinations

Reminder for CPOs and CTAs to Report Financial Information on NFA Forms PQR and PR

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