FINRA

SEC’s Office of Compliance Inspections Releases Its 2018 Examination Priorities

by Benjamin McCoy (LAW '12), Ernest M. Badway, Joshua Horn and Beckie Schatschneider

Fox Rothschild attorneys discuss the SEC’s 2018 examination priorities for the Office of Compliance Inspections.

Broker-Dealer Recordkeeping Requirements

by Benjamin McCoy (LAW '12), Ernest M. Badway, Joshua Horn and Beckie Schatschneider

Broker-dealers take heed: Benjamin McCoy (LAW ’12) and colleagues provide an overview of the touchstone recordkeeping requirements