Broker-Dealer Advisory & Counseling
Practice Areas
Financial Services Litigation & Regulation
Strategic Discovery & Information Management
Looking Forward
In 2019, securities regulators will likely focus on issues surrounding digital assets and blockchain-related offerings, cybersecurity, efforts to adopt a version of proposed Regulation Best Interest, the suitability and trading of volatility-linked products and other complex securities, due diligence with respect to private placements, market structure, new trading platforms, conflicts of interest related to order routing and best execution, and broker-dealers’ procedures and controls to promote compliance with the Customer Protection Rule. The SEC and FINRA also appear poised to continue their increasing focus on brokerdealers’ suspicious activity monitoring and reporting practices under the Bank Secrecy Act and related anti-money laundering regulations.