Broker-Dealer Advisory & Counseling
Practice Areas
Financial Services Litigation & Regulation
Strategic Discovery & Information Management
San Francisco, CA
C: (415) 308-2987T: (415) 651-5707
F: (415) 651-5708
New York, NY
T: (212) 880-3984
For more information visit Our Team page.
Looking Forward
In 2020, securities regulators likely will focus on issues relating to new digital currency products, interpretive advice on new Regulation BI, cybersecurity compliance, implementation of the amendments to Rule ATS, financial responsibility compliance, new uses of blockchain and artificial intelligence technologies in trading and trade processing, conflicts of interest and best execution, and decisions on trading rule pilots. The SEC and FINRA likely will increase focus on cybersecurity policies and procedures as well as continue to investigate compliance with anti-money laundering regulations.