Broker-Dealers: Be Ready for Questions About Regulation Best Interest Compliance
October 21, 2019
The More Things Change, the More They Stay the Same – Joint Statement by FINRA and the SEC on the Customer Protection Rule and Digital Asset Securities
July 9, 2019
North American Securities Administrators Association (NASAA) Releases Model Cybersecurity Rule
May 24, 2019
D.C. Circuit Vacates SEC Sanctions, Says Negligent Omissions Are Not 'Willful' Under Advisers Act
May 13, 2019
Emily Gordy Quoted in FundFire Article on FINRA’s Examination Priorities in 2020
January 15, 2020
Investment News Quotes Emily Gordy on FINRA Enforcement Head’s Departure
October 17, 2019
McGuireWoods Partners Outline Risks Broker-Dealers’ CRM Tools Pose to Financial Institutions
July 25, 2019
Emily Gordy Informs Law360, Investment News Coverage of New FINRA Rule Proposal Targeting Recidivism
May 14, 2019
Emily Gordy Discusses FINRA Enforcement Actions in Law360 and Investment News
March 21, 2019
Privilege Issues In High-Profile Corporate Sexual Harassment Case: Part I
January 15, 2020
Another Court Analyzes Privilege Protection For Employee-To-Employee Communications
January 8, 2020
Where Do States Articulate Their Attorney-Client Privilege Protection?
December 25, 2019
Can The Opinion Work Product Doctrine Allow Withholding of Intrinsically Unprotected Documents?
December 18, 2019
Can Adversaries Ask Corporate Witnesses About Their "State of Mind" When They Sought Legal Advice?
November 20, 2019
Who Has The Burden Of Proving Waiver In Privilege and Work Product Contexts?
November 13, 2019
Courts Confirm Privilege Protection's Availability For Employee-to-Employee Communications
November 6, 2019
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