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United States: The Securities and Exchange Commission New Year s resolution? Market restructuring for all!

United States: The Securities and Exchange Commission New Year s resolution? Market restructuring for all!
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United statesAuthorjenniferl klassAuthoramyj greerRaymond jamesGavin meyersJenniferl klassAuthorgavin meyersExchange commissionOffice of fraud detectionEnforcement practice groupFirm gavinSecurities exchangeFinancial industry regulatory authorityFirm global financial services regulatorySecurities exchange actClient alerts

United States: Preparing for regulatory examinations evaluating the digitization of trading and investment advice

United States: Preparing for regulatory examinations evaluating the digitization of trading and investment advice
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United statesRaymond jamesGavin meyersAuthorgavin meyersExchange commissionOffice of fraud detectionEnforcement practice groupFirm gavinFinancial industry regulatory authorityBaker mckenzieFinancial regulationAssistant general counselSenior counselGeneral counselRegulation bestFraud detection

United States: SEC requests comment on broker-dealer and investment adviser digital engagement practices

United States: SEC requests comment on broker-dealer and investment adviser digital engagement practices
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United statesAuthoramy greerJennifer connorsAuthorjennifer klassRaymond jamesAuthorgavin meyersA valerie mirkoAuthorjennifer connorsValerie mirkoGavin meyersJenniferl klassMerrill lynchDc bar corporationGeorge washington university law schoolOffice of fraud detectionOppenheimer co inc