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Thought Leadership in Action

Securities Lawyers Expect Escalation in Reg BI Enforcement

As we approach the second anniversary of Regulation Best Interest (Reg BI) going into effect, many are speculating news of the first major enforcement actions related to Reg BI violations will come soon. While it seems regulators have given firms a bit of grace as they transition to the new rules, top securities lawyers expect to see the Securities and Exchange Commission (SEC) and Finan...

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How the Marketing Landscape Will Change for Advisers Next Year

Some financial advisers will have more flexibility with their marketing starting in the fall of 2022. The Securities and Exchange Commission updated investment-adviser marketing rules that go into effect on Nov. 4, 2022. The rules allow advisers to use testimonials, endorsements, and third-party ratings as long as they comply with anti-fraud protections and other conditions. The marketin...

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What the SEC Cybersecurity Crackdown Means for Financial Advisers

The U.S. Securities and Exchange Commission takes protecting clients’ data seriously. In August, the SEC ordered eight financial firms to pay a combined $750,000 in fines for shortcomings in cybersecurity protections that led to client data being exposed over a four-year period. The firms were charged with violating the so-called Safeguards Rule, which requires registered broker-dealers,...

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