Articles, Alerts & Publications Archive

Regulatory risk and the Treasury Department's new customer due diligence rule

New Jersey Federal Court Finds No Coverage for Insured’s Defense Costs in Underlying Suit Over Lapse of Key Person Life Insurance

The FTC Releases the 2017 Consumer Sentinel Network Data Book

FINCEN Clarifies SAR Filing Obligations With Regard To Customer Participation In Their Home Country Tax Regularization Program

FINRA Seeks to Streamline Outside Business Activities Rule

SEC Announces Self-Reporting Initiative for Mutual Fund Share Class Disclosures

Have You Looked at Your Company’s Sexual Harassment Policy Lately?

Supreme Court Significantly Limits Scope of Whistleblower Protections Under Dodd-Frank

New York’s Lavern’s Law Expands the Discovery Rule Such that the Statute of Limitations Runs from the Cancer Diagnosis

Looming N.Y. Cybersecurity Deadline Puts Pressure on Companies

Looking to Defraud Creditors? Talk to Your Foreign Subsidiary!

Diversity More Than Numbers Game, But Midsize Law Firms Must Play to Win

Anti-Money Laundering Programs Included in the SEC’s 2018 National Exam Program Examination Priorities

SEC Issues 2018 Exam Priorities

Authentication and Admissibility of Electronic and Social Media Evidence in Family Law Matters

The Cuban Embargo: Is The Recent Restoration of Diplomatic Ties and a Possible Lift of The Embargo Beneficial For All?

International Study Shows In-House Bias Toward Male Outside Counsel

Eric Chase Authors Review of the Battle for Guadalcanal Book

NAIC Sets 2018 Agenda to Address Senior Issues

New York Cybersecurity Regulations – Tips On The First Required Filing

Do Narcissists Rule the Day?

2018's Top Twenty Legal Trends for Automobile Dealers

All The Way Towing: Custom-Built Vehicle Constitutes The Sale Of Merchandise To The Public Under New Jersey’s Consumer Fraud Act

Are You In Compliance? New Year, New Laws

FINRA Cracks Down on Cryptos, Securities-Backed Lines of Credit

U.S. Department of Labor Adopts Second Circuit’s Beneficiary Test for Determining Lawful Unpaid Intern Status

FINRA’s 2018 Priorities Letter Makes Clear that Firms' Anti-Money Laundering Programs Will Continue to Be Closely Scrutinized

Sixth Circuit Broadly Applies FINRA Arbitration Rule

“But-For” Causation Is Now Required In False Claims Act Retaliation Cases

New Jersey Department Of Banking And Insurance Issues Bulletin Providing Instruction Regarding Pip Coverage Required For Auto Cycles

New York DFS Proposes Amendments to its Annuity Suitability Rule

SEC Issues Warning on Token and Digital Currency Use

Advisors Beware: More Fintech Regs, Enforcement Coming in 2018

The NAIC Makes Progress on Health Insurance-Related Model Acts

The Senate Banking Committee Revised S.2155 to Protect Seniors from Financial Fraud

SEC Enforcement Division Reflects on 2017, Turns Focus to 2018

FINRA Issues Regulatory Notice 17-42 Requesting Comment and Proposing Amendments to Expungement of Customer Dispute Information

FINRA on Anti-Money Laundering Program Deficiencies in its First-Time Report on Examination Findings

New York Paid Family Leave Begins January 1, 2018

SIFMA’s C&L Luncheon in New York Features FINRA Head of Enforcement and Addresses Important Regulatory Issues

Department Of Labor Approves 18 Month Delay Of The Effective Date For The Best Interest Contract Exemption

A Woman's Guide to Negotiation: Using Your Innate Strengths to Get the Best Deal

SEC Exam Priorities Said to Focus on Cybersecurity, Seniors in 2018

Capitol Report

How to Be and Remain Confident in the Face of Adversity

Data Reflects Incremental Decline In The Broker/Dealer Model And Incremental Increase In The RIA Model

Enforcement Priorities and Dealing With An Aging Investor Base - Bressler and NJSBA Securities Law Program Summary

Eleventh Circuit Finds That No Private Right of Action Exists to Sue FINRA for Violations of its Internal Rules

SEC Shows Off Cybersecurity Muscle Following EDGAR Breach

U.S. Supreme Court May Soon Decide The Issue Of Whether Administrative Law Judges Can Adjudicate Enforcement Proceedings