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Emily P. Gordy
Insights 23 results
Client Alert
April 27, 2026
FINRA Adopts Sweeping Changes to Margin Requirements for Day Trading
Client Alert
Client Alert
February 18, 2026
Financial Services M&A: FINRA Notice Regarding Bulk Account Transfer Reduces Regulatory Burdens and Provides Updated Guidance
Client Alert
February 17, 2026
FinCEN Limits Beneficial Ownership Review for Subsequent Account Openings
Article
February 9, 2026
Practising Law Institute's Broker Dealer Regulation Treatise
Client Alert
December 24, 2025
SEC Clarifies Broker-Dealer Custody Rules for Crypto Assets
Client Alert
October 15, 2025
FinCEN Relaxes Suspicious Activity Reporting Requirements Via Four New FAQs
Client Alert
August 21, 2025
Fewer Cases So Far, with a Focus on Retail Investor Fraud – A Look at the First Six Months of SEC Enforcement Under the New Administration
Client Alert
August 8, 2025
Fed Follows Earlier OCC, FDIC, and NCUA Orders Allowing Banks to Collect TIN Information from Third Parties
Client Alert
Client Alert
June 24, 2025
FINRA Proposes Amendments to The Gifts Rule