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Regulatory Update for NFA and FINRA Member Firms — COVID-19

March 18, 2020 | Alert | By Therese Doherty, Kara M. Cormier, Jason Burrell

This alert from the Mintz Financial Services Practice reviews the recent relief and guidance provided for NFA and FINRA member firms related to challenges posed by the COVID-19 pandemic.
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The New York City Bar Association Goes to Bat for Compliance Officers

February 13, 2020 | Blog | By Michael Pastore, Jason Burrell

The New York City Bar Association Compliance Committee (“Committee”) recently issued a report encouraging financial regulators to provide a clear framework for when compliance officers may be held personally liable for the misconduct of their employing institutions.
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Consumer Financial Protection Bureau Issues Guidance Clarifying Abusiveness Standard

January 27, 2020 | Blog | By Pete Michaels, Michael Pastore

During the Consumer Financial Protection Bureau’s (“CFPB”) symposium series in June 2019, the featured panel discussed whether it was necessary for the Bureau to further define “abusive acts or practices” under the Dodd-Frank Act.
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2020 Exam Priorities of Financial Services Industry

January 22, 2020 | Blog | By Pete Michaels, David L. Ward, Michael Pastore

As they do at this time each year, the SEC Office of Compliance, Inspections and Examinations (“SEC”) and the Financial Industry Regulatory Authority (“FINRA”) recently announced their examination priorities for 2020.
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