Eversheds Sutherland Regulatory

Reform Task Force -


For Broker-Dealers

Roadmaps and Summaries on the key provisions and regulatory rulemakings impacting broker-dealers can be found below for each relevant title: 

Roadmaps Summaries
Title I Title I
Title II Title II
Title IV Title IV
Title VI Title VI
Title IX Title IX
  Title X


News and Legal Alerts

Legal Alert: Cybersecurity Issues in the Financial Services Industry: Fasten your cyber belts, it's going to be a bumpy night
April 22, 2014

Legal Alert: Recent Regulatory Developments Affecting Private Offerings
December 9, 2013

Article: PCAOB and SEC Alter Audit Landscape for Broker-Dealers
Fall 2013 Reprinted with permission American Bar Association Newsletter

Press Release: Sutherland Continues Expansion of Insurance and Financial Services Practice in New York
August 20, 2013

Legal Alert: Private Offerings: The SEC Lifts Ban on General Solicitation But Proposes a Hefty Regulatory Burden in Return
July 16, 2013

In the News: John H. Walsh Offers Best Practices for Regulated Entities in His Column, "Regarding Regulation"
January 4, 2013

Legal Alert: Federal Courts Bars Extraterritorial Application of Dodd-Frank’s Anti-Retaliation Provision to Whistleblowers Employed Abroad
October 23, 2012

Sutherland Forms Response Team to Help Clients Address Whistleblower Claims in 2012
December 21, 2011

Legal Alert: Blowing Your Own Whistle: Trumpeting Your Whistleblower Policies in Response to the SEC's New Whistleblower Program
July 28, 2011

Legal Alert: SEC Revamps Investment Adviser Regulatory Scheme as Mandated by the Dodd-Frank Act
July 22, 2011

Legal Alert: CFPB: Important Comment Period on Nonbank Regulation
June 28, 2011

Legal Alert: Broker-Dealer Annual Audits and Accounting Standards: SEC and PCAOB Developments
December 21, 2010

Brokers Can Take Practical Steps For Any Fiduciary Regime Change, Lawyer Says
October 2010 Reprinted with permission Daily Report for Executives

While You Were Complying: SEC and FINRA Disciplinary Actions Taken Against Chief Compliance Officers
October 2010 Reprinted with permission Practical Compliance & Risk Management for the Securities Industry

Broker-Dealers, Fiduciary Duties and Enhanced Conduct Standards Under the Financial Reform Act
October 2010 Reprinted with permission Practical Compliance & Risk Management for the Securities Industry

Legal Alert: New Whistleblower Protections for Financial Service Employees
October 1, 2010

No Easy Road - Developing a Fiduciary Standard for Broker-Dealers
July/August 2010 Reprinted with permission NSCP Currents

Legal Alert: Impact of Dodd-Frank Wall Street Reform and Consumer Protection Act on Broker-Dealers
August 16, 2010

Obama Signs H.R. 4173
July 21, 2010 Reprinted with permission National Underwriter Life & Health

Does a Statutory Fiduciary Duty Mean a More Substantive Fiduciary Duty? What the Future May Hold
August 2010 Reprinted with permission IAA Newsletter

Financial Reform 101: For Broker-Dealers
July 27, 2010 - Reprinted with permission Law360

Past Events

ALI-CLE Broker-Dealer Regulation Program: FINRA: An Analysis of Disciplinary Actions and Amended Rule 8210
January 8, 2014

3rd Annual Real Estate General Counsel Forum (East): The New Regulatory Environment
October 1, 2013

Webinar: Whistleblower Initiatives: Implementing the SEC's Bounty Program | presentation slides
June 22, 2011

Webinar - Whistleblower Initiatives: What You Need to Know | presentation slides
January 26, 2011

ALI-ABA - The Financial Services Regulatory Revolution: Navigating the New World of Broker-Dealer and Investment Adviser Regulation, Supervision and Sales
October 21-22, 2010

ALI-ABA - Dodd-Frank Financial Reform and its Impact on the Securities Industry
October 8, 2010


Eric A. Arnold +1.202.383.0741 EricArnold@eversheds-sutherland.com
Clifford E. Kirsch +1.212.389.5052 CliffordKirsch@eversheds-sutherland.com
Michael B. Koffler +1.212.389.5014 MichaelKoffler@eversheds-sutherland.com
Susan S. Krawczyk +1.202.383.0197 SusanKrawczyk@eversheds-sutherland.com
Holly H. Smith +1.202.383.0245 HollySmith@eversheds-sutherland.com


Other Resources

Legislative Benchmarks
November 19, 2009:
Regulatory Reform, markup, The Senate Banking Committee, on the Dodd bill entitled, "The Restoring American Financial Stability Act of 2009."

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