New SEC Adviser Marketing Rule Merges Advertising and Solicitation Rules
On December 22, 2020, the SEC released its much awaited advertising and solicitation rule amendments, merging both rules together to...
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Transitioning to 2021: Impact of Biden-Harris Administration on Financial Regulation
I recently co-authored a Law360 article on the upcoming change in U.S. presidential administration, including its impact on financial...
SEC Division of Examinations Makes Statement on Recent and Upcoming Reg BI Examinations
Yesterday, the newly re-named Division of Examination (formerly known as OCIE) at the SEC released a statement noting that they...
Massachusetts Fiduciary Rule Enforcement Mandate Begins Today, September 1, 2020
The Massachusetts Fiduciary Rule became effective on March 6, 2020, two weeks after adoption, but all eyes remained on the enforcement...
What's Next in Standards of Care Compliance: New Reg BI FAQs & Intersection of Department of Labor Rulemaking and Massachusetts Fiduciary Rule
This interview, published on August 3, 2020, addresses the intersections of SEC's Regulation Best Interest, the upcoming enforcement date...
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