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The Securities Litigation and Regulatory Enforcement resource Web site provides legal news, trends, and insights into navigating the complexities of the Securities Exchange Commission (SEC), U.S. Department of Justice (DOJ), Financial Industry Regulatory Authority (FINRA), Texas State Securities Board, and other state securities regulators. This is a go-to resource for broker dealers (BDs), investment advisers (IAs), general counsels (GCs) and directors and officers (D&Os) throughout Texas and across the nation. Learn more

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Broker Dealer, General Counsel & D&O, Investment Adviser, Uncategorized

It’s the Final Countdown: Being Prepared for Regulation Best Interest

Last year the U.S. Securities and Exchange Commission (“SEC”) approved Regulation Best Interest (“Reg BI”).[1] Reg BI requires broker-dealers and their associated persons to act in “the best interest”…

Broker Dealer, General Counsel & D&O, Investment Adviser

Fifth Circuit Overturns Receiver’s Settlement Barring Third-Party Claims Against Stanford Financial Insurers

The Fifth Circuit overturned a U.S. District Court’s approval of a settlement between Ralph Janvey, the Receiver for Stanford International Bank, and various insurance company Underwriters, under which the Underwriters…

Broker Dealer, General Counsel & D&O, Investment Adviser

An RIA’S Communications with Attorney Consultants Associated with its Outside Compliance Firm are Always Privileged, RIGHT? Well, That Depends . . .

An opinion this week from the Southern District of New York, SEC v. Alderson[1] [click here], held that an RIA’s communications with lawyers associated with its third-party compliance consultant…

Securities Litigation and Regulatory Enforcement

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Blog Posts

It’s the Final Countdown: Being Prepared for Regulation Best Interest

Fifth Circuit Overturns Receiver’s Settlement Barring Third-Party Claims Against Stanford Financial Insurers

An RIA’S Communications with Attorney Consultants Associated with its Outside Compliance Firm are Always Privileged, RIGHT? Well, That Depends . . .

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