Fri, Jul 3, 2020
Quarterly U.S. Regulatory Roundup – Second Quarter 2020
In the latest edition of the U.S. Regulatory Roundup, Duff & Phelps' Compliance and Regulatory Consulting practice outlines updates, enforcement and judicial actions from the SEC, FINRA and NFA.
Executive Summary
Jul 03, 2020
U.S. Securities and Exchange Commission Update – Second Quarter 2020
Jul 03, 2020
Financial Industry Regulatory Authority Update - Second Quarter 2020
Jul 03, 2020
National Futures Association – Second Quarter 2020
Jul 03, 2020
Enforcement Matters – Second Quarter 2020
Jul 03, 2020
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COVID-19 Resources
- Duff & Phelps COVID-19 Resource Center
- SEC COVID-19 Frequently Asked Questions
- FINRA COVID-19 Task Force
U.S. Securities and Exchange Commission Update – Second Quarter 2020
- COVID-19 Market Monitoring Group – Update and Current Efforts
- SEC Adopts Offering Reforms for Business Development Companies and Registered Closed-End Funds
- Risk Alert: Examinations Focusing on Regulation Best Interest and Form CRS
- SEC Proposes Fund Valuation Practice Modernization
- SEC Adopts Amendments to Financial Disclosures about Acquired and Disposed Businesses
- SEC Adopts Temporary Amendments to Regulation Crowdfunding
- Risk Alert: Examination Initiative: LIBOR Transition Preparedness
- SEC Extends Relief for Fund Board Virtual Meetings
- Risk Alert: Observations from Examinations of Investment Advisers Managing Private Funds
Financial Industry Regulatory Authority Update – Second Quarter 2020
- FINRA Amends Arbitration Code to Expand Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive
- FINRA Issues Guidance on Protecting Senior Investors
- FINRA Regulatory Notice 20-13: FINRA Reminds Firms to Beware of Fraud During the Coronavirus (COVID-19) Pandemic
- FINRA Regulatory Notice 20-14: Sales Practice Obligations with Respect to Oil-Linked Exchange-Traded Products
- Frequently Asked Questions About Advertising Regulation
- FINRA Regulatory Notice 20-18: FINRA Amends Its Suitability, Non-Cash Compensation and Capital Acquisition Broker (CAB) Rules in Response to Regulation Best Interest
National Futures Association Update – Second Quarter 2020
- CFTC Issues COVID-19 Customer Advisory on Fee Scams
- Amendments to NFA Compliance Rule 2-29 and Related Interpretive Notice Now Effective
- Notice I-20-21: Increase in Fraudulent Phishing Emails Warrants Member Vigilance
Enforcement Matters – Second Quarter 2020
- SEC Charged Husband and Wife in Insider Trading Scheme
- SEC Charged Multinational Financial Corporation with Providing Misleading Information to Retail Clients
- CFTC Files Charges in $20 Million International Binary Options and Digital Asset Fraud Scheme
- SEC Charged Former Registered Representative with Defrauding Investors
- SEC Charged Investment Adviser Representative for Conducting Fraudulent “Cherry-Picking” Scheme
- SEC Charged Private Equity Firm with Compliance Failures
- SEC Awards Almost $2 Million to Whistleblower
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