A New Era in Securities Supervision and Compliance Developments

Posted on February 19th, 2015 at 2:49 PM

2014 brought a new era of securities regulation, with the changing of the guard at the Securities and Exchange Commission (“SEC”) during 2013, and the appointment of Mary Jo White as Chair. Th e SEC made clear that 2014, the year of the organization’s 80th anniversary, would feature stricter enforcement, increased examinations and a continued focus on creating and implementing cultures of compliance and disclosure throughout the industry. Th e Financial Industry Regulatory Authority, Inc. (“FINRA”), a self-regulatory organization (“SRO”) regulated by the SEC, similarly promulgated guidance refl ecting a focus on compliance, supervision and disclosure. James Eccleston and Christine Goodrich of Eccleston Law, LLC detail the regulatory changes and guidance issuesd by FINRA and the SEC.

Related Attorneys: James J. Eccleston

Tags: James Eccleston, Eccleston Law Offices, FINRA, SEC, Christine Goodrich, Eccleston Law News, Chicago Bar Association, Uniform Fiduciary Standard, Risk Management, Practical Compliance, Securites

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