Suppose your company suspects an employee broke the law, perhaps even using company property to...
Noting Deficiencies, FINRA Suggests Best Practices for Reg BI Compliance During its first-ever review of...
In this episode of Legally Qualified, RumbergerKirk attorneys Pete Tepley and Rebecca Beers talk with...
It’s Time to Adapt Your Litigation Strategy to a More Flexible Summary Judgment Standard On...
As the Biden administration takes shape, many are foreseeing changes to the regulation and conduct...
With SEC Regulation Best Interest (“Reg-BI”) effective as of June 30, 2020, SEC examiners will...
Be sure you’re following best practices before regulators come knocking. The Securities and Exchange Commission...
Regulators won’t demand perfect compliance right away, but firms need to show that they’re working...
Litigation Risks Posed by the SEC’s Regulation Best Interest Pete Tepley and Meredith Lees highlight...
Amendments to the Financial Industry Regulatory Authority, Inc.’s ("FINRA’s") Customer and Industry Codes of Arbitration...
