Insights


Securities and Financial Services

Protecting Against Elder Investment Fraud and Exploitation

In this episode of Legally Qualified, RumbergerKirk attorneys Pete Tepley and Rebecca Beers talk with...

Commercial Litigation

New Year, New Florida Summary Judgment Standard

It’s Time to Adapt Your Litigation Strategy to a More Flexible Summary Judgment Standard On...

Securities and Financial Services

Financial Services Industry Regulation in The Biden Era

As the Biden administration takes shape, many are foreseeing changes to the regulation and conduct...

Securities and Financial Services

Implementing Reg-BI and Preparing for Examinations: The Compliance Obligation

With SEC Regulation Best Interest (“Reg-BI”) effective as of June 30, 2020, SEC examiners will...

Photo: Shutterstock.com/Jer123
Securities and Financial Services

Preparing for Reg BI Exams: The Disclosure Obligation

Be sure you’re following best practices before regulators come knocking. The Securities and Exchange Commission...

Photo: Shutterstock.com/Jer123
Securities and Financial Services

Prepping for SEC Reg BI Exams: What ‘Good-Faith’ Compliance Efforts Look Like

Regulators won’t demand perfect compliance right away, but firms need to show that they’re working...

Securities and Financial Services

Minimizing Liability Under the SEC’s Reg-BI

Litigation Risks Posed by the SEC’s Regulation Best Interest Pete Tepley and Meredith Lees highlight...

Photo: Pavel Ignatov/Shutterstock.com
Securities and Financial Services

FINRA Office of Dispute Resolution Party Portal Now Required

Amendments to the Financial Industry Regulatory Authority, Inc.’s ("FINRA’s") Customer and Industry Codes of Arbitration...

Securities and Financial Services

Steps to Avoiding Clearing Broker Liability

Courts and arbitration panels have increased their attention on the relationship between introducing securities broker-dealers...