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SEC Hits Pause Button for ALJs; Updates on Custody Rule; SEC Director Discusses What Makes Cryptocurrency a Security; Mutual Funds Allowed to Save Trees: Regulatory Update for July 2018

SEC Stops All In-House Cases after Defeat in Supreme Court:   The SEC enforcement division suffered a blow when the U.S. Supreme Court held that the process for hiring SEC’s administrative…

Best Execution | Conflicts of Interest | DOL Fiduciary Rule | FINRA Rule Changes | ICO | Mutual Fund Distribution | Regulatory Deadlines

SEC Answers Questions on Share Class Initiative, Creates Mock ICO; DOL Agrees to Continue Non-Enforcement Policy, and FINRA Helps BDs with Tips on Heightened Supervision: Regulatory Update June 2018

SEC issues FAQs on Share Class Disclosure Initiative:  I meant what I said and I said what I meant:  Back on February 12, 2018, the SEC Division of Enforcement announced…

DOL Fiduciary Rule | Form ADV Disclosure | MSRB Rules | Municipal Advisors | Regulatory Deadlines

Death Knell for Fiduciary Rule? MSRB Requires Disclosure of Mark-Ups/Mark-Downs and Reminds Municipal Advisors about Customer Complaints: Regulatory Update April 2018

Is the Fiduciary Rule Dead? The Department of Labor announced that it will not be enforcing the Fiduciary Rule “pending further review,” after the Fifth Circuit Court of Appeals vacated…