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Davis Polk Offers Update on Investment Management and Funds Regulation

SEC Division of Examinations releases examination priorities for 2025

On October 21, 2024, the SEC’s Division of Examinations (Division) published its examination priorities for 2025 (Exam Priorities). The Exam Priorities fall into the following seven categories: (1) Investment Advisers, (2) …

Arnold & Porter Discusses Today’s SEC Examination Priorities, Tomorrow’s SEC Enforcement Actions

Rounding out a series of quarter-end announcements from the US Securities and Exchange Commission (SEC), the Division of Examinations (Exams) announced its 2022 examination priorities on March 30, 2022. These priorities reflect SEC Chair Gary Gensler’s stated view that the …

Shearman & Sterling Examines the Changing Fiduciary Duty Landscape in a Trump Presidency

The fiduciary standards for institutions and individuals providing investment advice throughout the retail investment and municipal securities markets are currently undergoing significant change. Following on the heels of the issuance of a final Department of Labor (the “DOL”) fiduciary rule …

Bingham Discusses the SEC’s Request for Input on a Potential Uniform Fiduciary Standard of Conduct

The Dodd-Frank Act gave the SEC the authority to adopt, but did not require it to adopt, a uniform fiduciary standard of conduct for both broker-dealers and investment advisers when providing personalized investment advice about securities to retail customers. On …

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Editor's Tweet: Bingham Discusses the SEC's Request for Input on a Potential Uniform Fiduciary Standard of Conduct

Do Broker-Dealers Have a Green Light to Force Investors to Waive Class Actions in Court?

Virtually all brokerage firms’ customer agreements require arbitration of disputes in the Financial Industry Regulatory Authority (FINRA) forum.  FINRA regulates the contents of these predispute arbitration agreements (PDAAs) and prohibits broker-dealers from requiring customers to give up the right to …

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Editor's Tweet: Professors Barbara Black and Jill Gross discuss whether broker-dealers have a green light to force investors to waive class actions