Issues

FINRA report on broker-dealer management of conflicts of interest

Scott Anderson
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SEC intensifies scrutiny of fee-based accounts and reverse churning

Daniel A. Nathan; Lauren A. Navarro
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Mark Cuban defense verdict highlights difficulty of proving “misappropriation” theory of insider trading

Jonathan Green; Aaron Miner
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SEC suffers three recent losses despite increased focus on trial readiness

Bruce Bettigole; Katherine Kelly; Charlie Kruly
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Editor’s letter

Henry Davis
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SEC issues guidance on Rule 144A and Rule 506 offerings regarding general solicitation and general advertising and other aspects of the amended rules

Stuart Gelfond; Joshua Coleman; Kaihli Ross
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Organisation of compliance across financial institutions

Lukasz Prorokowski; Hubert Prorokowski
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SEC approves amendment to FINRA IPO allocation rule 5131, easing compliance for fund investors

Charles S. Gittleman; Russell D. Sacks; Jennifer D. Morton
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CFTC harmonization rules: CPOs of RICs benefit from “substituted compliance”

Daphne G. Frydman; Raymond A. Ramirez
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SEC changes course: some companies must now admit wrongdoing

Gregory G. Schwab
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Recent SEC enforcement actions put spotlight on prohibited short selling

Stephen Wink; Christopher Clark; Stefan Paulovic; Kathleen Whipple
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SEC targets investment adviser community

Robert P. Bramnik; Mauro M. Wolfe
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AML compliance for foreign correspondent accounts: a primer on beneficial ownership requirements and other challenges

Christina N. Davilas
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CFTC overhauls customer protection requirements

Robert M. Brown
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