5,577 results found

FINRA reminded member firms about supervisory requirements concerning Uniform Transfers to Minors Act ("UTMA") and Uniform Gifts to Minors Act ("UGMA") accounts.

A firm, its chief compliance officer and one of its supervisors settled FINRA charges for supervisory failures relating to unsuitable recommendations made by one of the firm's representatives.

Five firms settled FINRA charges for failing to adequately supervise custodial accounts under the Uniform Gifts to Minors Act ("UGMA") and Uniform Transfers to Minors Act ("UTMA").

On February 21, the SEC approved a six-month extension for mutual funds to comply with the classification (bucketing) requirements and related elements of its new liquidity rule.

On 21 December 2017, the Joint Money Laundering Steer Group published a revised version of its Guidance on the prevention of money laundering and the financing of terrorism for the U.K. financial services industry.

Our client is a proprietary trading company that recruits amateur traders, trains them, and funds them with company capital for trading in stocks, bonds, forex, cryptocurrencies, indices, futures, and commodity markets.

NFA extended relief previously provided to futures commission merchants ("FCMs") / introducing brokers ("IBs"), swap dealers ("SDs") and forex dealer members ("FDMs") from certain recordkeeping requirements.

NFA proposed to require a CPO to notify NFA upon an event that may affect the ability of its pool to fulfill its obligations to pool participants.

The Consumer Financial Protection Bureau ("CFPB") released a regulatory Circular providing guidance regarding the use of "complex algorithms" to assess whether a consumer should be extended credit.

The 2001 Patriot Act imposed rigorous customer identification program (CIP) rules on financial institutions that were designed to prevent ...

Kelley Howes spoke to Buyouts about the U.S. Securities and Exchange Commission's (SEC) new private fund rules, which have been described as the most sweeping new regulations for private funds since...

On March 14, 2025, the Securities and Exchange Commission (SEC) issued the following press release (Release) to extend compliance with the amendments...

The Cabinet Center for Administrative Transition ("CCAT") is Cadwalader's newest curated repository of pronouncements, policies and proposals for legislative and regulatory changes that reflect the financial services...

The Consumer Financial Protection Bureau ("CFPB") has faced significant operational constraints under recent changes in the present administration and Congress.

On June 21st, Dickinson Wright's Rose Willis and Peter Domas participated in the Health Care Compliance Regional Conference in Ann Arbor

The American Conference Institute's 12th Annual Legal, Regulatory, and Compliance Forum on Cosmetics & Personal Care is scheduled to take place from March 27-28, 2025...

On June 1, 2026, the Centers for Medicare & Medicaid Services (CMS) released an Interim Final Rule (the Rule) that would impose work requirements on certain Medicaid participants.