Search for: "In the Interest of CR"
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26 Mar 2020, 10:01 pm
Morgan, No. 1:18-CR-00108 EAW (W.D.N.Y. [read post]
25 Mar 2020, 10:51 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5144/securities-industry-commentator/Investors Remain Front of Mind at the SEC: Approach to Allocation of Resources, Oversight and Rulemaking; Implementation of Regulation Best Interest and Form CRS (SEC Release)In the Matter of LendingClub Corporation (TSSB Consent Order)Department of Justice and Department of Health and Human Services… [read post]
1 Mar 2020, 4:00 am
Every week we present the summary of a decision handed down by a Québec court provided to us by SOQUIJ and considered to be of interest to our readers throughout Canada. [read post]
23 Feb 2020, 4:00 am
Décision L’article 236 paragraphe 3 de la loi ne crée pas de délai de déchéance. [read post]
17 Feb 2020, 8:00 am
I have to go with a dessert: crème brulee. [read post]
16 Feb 2020, 4:00 am
Every week we present the summary of a decision handed down by a Québec court provided to us by SOQUIJ and considered to be of interest to our readers throughout Canada. [read post]
14 Feb 2020, 6:02 am
Today’s interview is with Owen Henry, a legislative data analyst in the Congressional Research Service (CRS) of the Library of Congress. [read post]
10 Feb 2020, 7:46 am
The driver’s crash report is called a CR-2 or “Blue Form. [read post]
2 Feb 2020, 6:49 am
The 2020 Priorities are largely the same as the examination priorities in 2019. [2] The primary difference between the 2020 Priorities and the 2019 examination priorities is the focus on the package of rulemakings and interpretations adopted in June 2019, including the Interpretation Regarding Standard of Conduct for Investment Advisers, the Form CRS Relationship Summary and Regulation Best Interest. [3] (more…) [read post]
2 Feb 2020, 4:00 am
Every week we present the summary of a decision handed down by a Québec court provided to us by SOQUIJ and considered to be of interest to our readers throughout Canada. [read post]
30 Jan 2020, 3:25 pm
Adopted in June 2019, “Regulation Best Interest” requires broker-dealers, and associated persons of brokers or dealers, to act in the best interest of retail customers when making a recommendation of any securities transaction or investment strategy. [read post]
29 Jan 2020, 4:55 am
Please feel free to forward along to anyone who might be interested. [read post]
27 Jan 2020, 3:45 pm
BI and Form CRS. [read post]
17 Jan 2020, 11:11 am
SEC Statistics on Advisers In the “2020 Examination Priorities”, the SEC published some interesting statistics. [read post]
17 Jan 2020, 11:11 am
SEC Statistics on Advisers In the “2020 Examination Priorities”, the SEC published some interesting statistics. [read post]
16 Jan 2020, 3:45 pm
Conflict of Interest Obligation. [read post]
14 Jan 2020, 11:47 am
Regulation Best Interest (Reg BI) and Form CRS The SEC adopted Reg BI in June 2019, which establishes a “best interest” standard of conduct for broker-dealers. [read post]
14 Jan 2020, 11:47 am
Regulation Best Interest (Reg BI) and Form CRS The SEC adopted Reg BI in June 2019, which establishes a “best interest” standard of conduct for broker-dealers. [read post]
14 Jan 2020, 5:00 am
In Securities hot topics in 2019: A whirlwind expert review, we look back at blog posts by securities practitioners and other experts for insights on trends and developments in 2019, including:continued dramatic growth of securities litigation and calls for reform;the SEC’s adoption of Regulation Best Interest and related Form CRS and interpretations regarding the duties broker-dealers and advisers owe to customers;corporate governance hot spots, including controversial… [read post]
13 Jan 2020, 2:41 pm
After the June 30th compliance date for Regulation Best Interest, OCIE intends to assess firms’ compliance with implementation requirements, including policies and procedures regarding conflicts disclosures and the content and delivery of Form CRS. [read post]
