Julian Rainero

Nov 28, 2024 | mondaq.com | William J. Barbera |Julian Rainero |Derek N. Lacarrubba |Kristopher J. Kendall

On Nov.

Nov 10, 2023 | mondaq.com | Marc E. Elovitz |Julian Rainero |William J. Barbera |Derek N. Lacarrubba

On Oct. 13, 2023, the SEC adopted new Rule 10c-1a under the Securities Exchange Act of 1934, as amended ("Exchange Act"), which the Federal Register officially published on Nov.

Sep 7, 2023 | mondaq.com | Julian Rainero |William J. Barbera |Derek N. Lacarrubba |Kristopher J. Kendall

On Aug. 23, 2023, the US Securities and Exchange Commission ("Commission") adopted amendments1 ("Amendments") to the Securities Exchange Act of 1934 ("Exchange Act") to require certain SEC-registered dealers that were previously exempt from national securities association2 membership to register with the Financial Industry Regulatory Authority ("FINRA").

Sep 6, 2023 | lexology.com | Julian Rainero |William J. Barbera |Derek N. Lacarrubba |Kristopher J. Kendall

On Aug. 23, 2023, the US Securities and Exchange Commission (“Commission”) adopted amendments[1] (“Amendments”) to the Securities Exchange Act of 1934 (“Exchange Act”) to require certain SEC-registered dealers that were previously exempt from national securities association[2] membership to register with the Financial Industry Regulatory Authority (“FINRA”).

Aug 29, 2023 | mondaq.com | Betty Santangelo Esq |Melissa Goldstein |Julian Rainero |Kristopher J. Kendall

On July 31, 2023, the staff of the US Securities and Exchange Commission's ("Commission") Division of Examinations ("Exam Staff") issued a risk alert ("Alert") highlighting various deficiencies in the anti-money laundering ("AML") programs of certain broker-dealers during the most recent SEC examination cycle.1 The Alert highlights the Exam Staff's observations regarding inadequacies in broker-dealers' AML programs, including with respect to compliance with independent testing and training...