Securities Regulation & Compliance

California’s Clean Slate Act, composed of Assembly Bill 1076 and Senate Bill 731, aims to expand opportunities for individuals with…

On December 20, 2024, the Securities Exchange Commission announced that it had settled with multiple entities for failing to timely…

On August 28, the Financial Crimes Enforcement Network (“FinCEN”), within the U.S. Treasury Department, issued a final rule, the Anti-Money…

FINRA recently announced in Regulatory Notice (“Reg. Notice”) 24-12, amendments to Rule 3240 (the “Rule”) which generally prohibits borrowing from…

On October 21, 2024, the U.S. Securities and Exchange Commission (SEC) Division of Examinations released its annual examination priorities for…

On May 16, 2024, the Securities and Exchange Commission (“SEC”) adopted significant amendments to Regulation S-P (“Reg S-P”). Among other…

On March 27, 2024, the Securities and Exchange Commission (“SEC”) adopted amended rules regarding the registration requirements that apply to…

On February 6, 2024, the Securities and Exchange Commission (“SEC”) adopted Rules 3a5-4 and 3a44-2 (“Final Rules”) defining the phrase…

Beginning January 2024, several new laws began to take effect, impacting various professionals - specifically those U.S. businesses and entities…

Being fired is never easy, but it is a particularly challenging and uncertain time for licensed financial advisors and their…