WASHINGTON, D.C. (July 18, 2013) – Morrison & Foerster today announced the launch of The BD/IA Regulator, a blog that provides pointed and practical summaries of developments in securities regulation, enforcement and litigation designed for broker-dealers, investment advisers, investment companies and private funds. The blog is a joint effort between the firm’s nationally ranked Securities Litigation, Enforcement and White-Collar Defense (SLEW) Group and Investment Management (IM) practice.
The BD/IA Regulator will provide timely insights, updates and recommendations on compliance and regulatory matters, with an emphasis on global compliance challenges, as well as focused case information and analysis of enforcement cases and initiatives related to broker-dealer sales practices, insider trading, anti-money laundering, market manipulation, financial fraud and accounting misconduct.
The blog will be overseen by some of Morrison & Foerster’s regulatory and enforcement experts, including former financial regulator and partner in Morrison & Foerster’s SLEW Group Daniel Nathan and investment management lawyer and chair of Morrison & Foerster’s IM practice Jay Baris.
“The last several years have seen an unprecedented rate of activity in securities regulation and enforcement, accompanied by frequent SEC and FINRA pronouncements and precedents regarding new products and services, and the rate of this activity keeps increasing,” said Mr. Nathan. “The blog will be a great resource to keep industry professionals aware of new and important information in the securities markets.”
“MoFo’s SLEW and IM lawyers frequently publish legal updates and analysis to help clients understand and manage constant regulatory changes,” said Mr. Baris. “This blog will be the go-to site to find all of our practical insights in one easily accessible location.”
A team of MoFo lawyers who are well experienced in issues affecting the securities and investment businesses will write and edit The Securities Regulator. Our lawyers have practical experience from many perspectives - as practitioners in private practice, as in-house counsel, and in enforcement positions at the SEC, CFTC and FINRA.
The BD/IA Regulator marks the fifth of Morrison & Foerster’s blogs. MoFo’s other blogs include MoFo Tech is the online, real-time version of MoFo Tech, the firm’s award-winning magazine of news, trend-spotting and analysis for science and technology companies. The Private Surgeon General Class Action Defender provides robust case information and industry analysis of false advertising and false labeling class action cases. The Socially Aware blog is the companion to MoFo’s Burton Award-winning guide Socially Aware, covering legal news in the world of social media, and the MoFo Jumpstarter blog is intended to provide entrepreneurs, domestic and foreign companies of all shapes and sizes, and financial intermediaries, with up to the minute news and commentary on the JOBS Act.