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The BD/IA Regulator Providing securities regulatory, enforcement and litigation trends for broker-dealers, investment advisers and investment funds

About The BD/IA Regulator

Securities and investment businesses and legal practitioners have come to rely upon the insights and advice offered by Morrison & Foerster’s securities regulation and enforcement defense attorneys in their frequent client alerts. We are now packing our observations and insights into The BD/IA Regulator. Our blog will report and analyze regulatory and enforcement developments, and offer practical takeaways.

The BD/IA Regulator allows us to better report and analyze developments as they happen. Blog posts will permit you to track significant new SEC rule proposals, FINRA regulatory notices and sweep letters, and important SEC and FINRA enforcement actions that impact your businesses. At its inception, The BD/IA Regulator is already rich with content from our prior reports this year, including recent advice about:

  • FINRA’s focus on non-traded REITs and its anti-money laundering disciplinary actions;
  • the SEC’s action against fund directors for breaching their valuation duties;
  • the SEC’s examination findings of widespread violations of the investment adviser custody rule; and
  • the STOCK Act and its impact on political intelligence firms.

Additionally, you will be able to find our:

  • comprehensive annual review of insider trading actions and changes in the law;
  • reports on SEC, OCIE and FINRA annual priorities; and
  • reports on regulatory guidance on the use of social media by issuers, broker-dealers, investment advisers and investment companies.

In The BD/IA Regulator, we will provide timely, easily digestible reports on new developments in a single place, coupled with practical takeaways. No turgid legal memos here – just plainly stated summaries, analyses, conclusions and practical takeaways from experienced regulatory and defense lawyers.

A team of MoFo lawyers experienced in the regulation of broker-dealers, investment advisers, investment companies and private funds will write and edit The BD/IA Regulator. Our lawyers have experience from many perspectives—as practitioners in private practice, as in-house counsel and in enforcement positions at the SEC, CFTC and FINRA. We regularly advise clients on the comprehensive range of issues covered by The BD/IA Regulator, and we also represent regulated entities and their personnel before government and SRO regulators. The BD/IA Regulator offers you a terse, complete, accurate, and, most important, useful takeaway to help you run your business.