CSG Law

1 week ago | csglaw.com | Lisa M. Colone |Christopher Kelly

CSG Law Alert: What is FINRA’s Threshold for Deciding Whether a Matter Should Be Referred to Enforcement? The Commodity Futures Trading Commission (CFTC) recently announced that, going forward, the CFTC’s operating divisions would refer only “material” violations to the CFTC’s Division of Enforcement. What are “material” violations?

2 weeks ago | csglaw.com | Lisa M. Colone |Christopher Kelly

CSG Law Alert: Does a Recent Settlement Signal a Change in FINRA’s Approach to Charging Violations of FINRA’s Private Securities Transaction Rule? Is a broker-dealer required to “supervise” representatives’ outside investment advisory activities? For years, FINRA has struggled to answer this question. However, a recent FINRA settlement may shed light on FINRA’s current approach.

1 month ago | csglaw.com | Chase Jones

CSG Law Alert: IRS Updates Employee Retention Credit FAQsOn March 20, 2025, the Internal Revenue Service (“IRS”) added five FAQs regarding Employee Retention Credits (“ERC”) arising from the COVID-19 Pandemic. These updates come as the impending statute of limitations deadline for 2021 ERC claims approaches. The ERC was a refundable tax credit instituted to help eligible businesses and tax-exempt organizations continue paying its employees during the pandemic.

1 month ago | csglaw.com | Christopher Kelly

Securities Industry and Financial Markets Association: The Rising Tide of Cybersecurity Enforcement and ThreatsOn March 24, from 10:05 – 11:05 am, Christopher J. Kelly, Chair of the CSG Law Securities Enforcement Group, will serve as a moderator at the 2025 Securities Industry and Financial Markets Association (SIFMA) C&L Annual Seminar in Austin, Texas.

1 month ago | csglaw.com | John DeFuria |Michelle Delaney |Glenn Stein

CSG Law Alert: CTA Update – FinCEN Eliminates CTA Reporting Requirements for U.S. Companies and Certain IndividualsAfter nearly a year of uncertainty surrounding enforcement of the Corporate Transparency Act (“CTA”), we now have more clarity regarding the applicability of the CTA.