Subject to Inquiry

Subject to Inquiry

THE LATEST ON GOVERNMENT INQUIRIES AND ENFORCEMENT ACTIONS

Government Investigations and White Collar Litigation Group

John Ayanian

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John is co-chair of the firm’s Securities Enforcement & Regulatory Counseling practice group and advises clients on broker-dealer and securities market regulatory matters. He counsels U.S. and foreign financial institutions and markets on all aspects of their U.S. securities trading, markets, and clearing activities. These include issues arising under U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) rules.

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Spring Has Sprung for Recent Reg NMS Reporting Changes

By Elizabeth J. Hogan, John Ayanian, James E. Lego and Rhea Shahane on Compliance, Financial Institution Regulation, Securities and Commodities
On March 6, the SEC released its long-anticipated adopting release amending Rule 605.[1]  Separately, in late February, FINRA issued Regulatory Notice 24-05 discussing new FINRA Rule 6151, which requires member firms to provide Rule 606 reports to FINRA. The following provides a brief overview of these recent moves by both regulators.   … Continue Reading

SEC Issues Risk Alert on Reg BI Deficiencies Identified During Exams

By John Ayanian, Cheryl Haas, McGuireWoods LLP and Government Investigations Group on Compliance, Securities and Commodities
On Jan. 30, the U.S. Securities and Exchange Commission’s Division of Examinations released a Risk Alert identifying perceived weaknesses in broker-dealers’ compliance with the disclosure, care, conflicts of interest and compliance obligations of Regulation Best Interest. Read on for highlights from the alert and how they reflect the SEC’s evolving expectations during examinations… Continue Reading

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