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Articles by Emmanuel Brown
What’s New with FINRA’s Recent 2025 Regulatory Oversight Report | JD Supra
2025 is here, and so is FINRA’s 2025 Annual Regulatory Oversight Report (Report). On January 28, 2025, FINRA published the Report, which provides firms with insight into FINRA’s findings from recent observations and examinations. The Report provides new content addressing trends and potential challenges for broker-dealers. The updated content ranges from technology to data security to popular complex financial products, as well as how firms offer services.
FINRA to Member Firms: “You Heard the SEC, Create Plans for Data Breaches Now!” | JD Supra
On May 15, 2024, the SEC announced it would make amendments to Regulation S-P (Reg S-P). This will be the first amendment to the regulation since its adoption 24 years ago in 2000. The regulation focuses on how institutions handle customers’ private personal information. The amendment comes in response to the ever-evolving technologies that expose individuals’ sensitive data to potential security breaches.
Crypto is Here to Stay in 2024, So Be Careful How You Talk About It | JD Supra
More than ever before, financial services regulators must increasingly adapt to technological advances. Perhaps no other technological advancement is more important right now than crypto currency. Crypto currency is defined as digital assets issued or transferred using blockchain technology.
Crypto is Here to Stay in 2024, So Be Careful How You Talk About It
More than ever before, financial services regulators must increasingly adapt to technological advances. Perhaps no other technological advancement is more important right now than crypto currency. Crypto currency is defined as digital assets issued or transferred using blockchain technology.
You Might Want to Write Down Why You Recommended that Rollover | JD Supra
Since Regulation Best Interest’s (Reg BI) June 30, 2020 compliance date, the Division of Examinations of the Securities and Exchange Commissions (the Division) has been busy implementing examinations of broker-dealers to assess compliance with the regulation. The Division is planning to include Reg BI compliance into future examinations of broker-dealers.
And Now for the SEC’s First Substantive Reg BI Action | JD Supra
We have made it a point previously in this blog to track developments of the SEC’s Regulation Best Interest (Reg BI), even speculating more aggressive enforcement actions could be coming due to certain Reg BI deficiency letters sent to firms late last year. Since Reg BI went into effect in June 2020, however, many have waited with bated breath to see what enforcement of the regulation would look like in practice.
And Now for the SEC’s First Substantive Reg BI Action
Skip to content We have made it a point previously in this blog to track developments of the SEC’s Regulation Best Interest (Reg BI), even speculating more aggressive enforcement actions could be coming due to certain Reg BI deficiency letters sent to firms late last year. Since Reg BI went into effect in June 2020, however, many have waited with bated breath to see what enforcement of the regulation would look like in practice.
Preparing for In-Person Trials in the PCCP during COVID | JD Supra
In March 2021, the Philadelphia Court of Common Pleas (“PCCP”) released its Protocols and Guidelines for conducting in-person civil jury trials during the COVID-19 pandemic (the “Protocols”). To curb the spread of COVID-19, the Protocols outline several precautions, including mask requirements, enforced social distancing, reduced capacity, strategically placed Plexiglass, and the use of streaming technology.
Effectively Navigating PREP Act Case Law - The Products Liability Perspective | Lexology
Since the federal Public Readiness and Emergency Preparedness Act (the PREP Act) was enacted by Congress in 2005, only a few courts have substantively commented on the Act’s requirements. The PREP Act provides federal immunity against state law tort claims to covered entities that manufacture covered countermeasures used to fight diseases and viruses declared as national emergencies, such as COVID-19. The pivotal case substantively applying the PREP Act’s immunity defense is Parker v.
Preparing for the COVID-19 Immunity Preemption Defense | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
FDA Warns Companies about Processing, Distributing and Marketing Unapproved Stem Cell Products | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
Opinion: I’m not a bigot. I just don’t care about minorities.
Geez, checking my Facebook timeline these past few days you would have thought someone died. Would people lighten up?? All these sensitive and spoiled millennials crying about how “the world is going to end” or that “the country is racist and sexist.” Well using that logic I must be racist or sexist because I voted for Donald Trump. But it’s not true. Now before you get your microaggressions in a bunch or start asking me to check my privilege, I want to offer up my take on things.
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