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U.S. Regulatory Update

June 2023

Welcome to our June regulatory updates where you will find practical thought leadership distilling the latest regulatory headlines.

For all firms this month, we highlight the SEC’s latest risk alerts on weak branch office procedures and on the LIBOR transition, the biggest whistleblower award ever, and new state regulations related to privacy and financial exploitation of seniors and other vulnerable investors.

For advisers, we share key takeaways from recent Form PF amendments and for broker-dealers, we break down a recent case of Regulation Best Interest (“Reg BI”) failures. Finally, we share our “lessons learned” from recent enforcement activity and suggested resources for your additional research. 

 

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This edition includes articles on topics such as:

  • The SEC’s largest whistleblower award
  • Transitioning from LIBOR to SOFR
  • A risk alert on safeguarding customer records and information at branch offices
  • Indiana, Tennessee, and Montana adopting comprehensive privacy laws
  • Georgia's new financial exploitation law
  • The SEC's amendments to Form PF
  • FINRA’s first expulsion for firm’s Reg BI failures
  • Lessons learned 
  • And more

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