Brian Baltz

Brian is a partner in the firm’s Government Investigations and White Collar Litigation Department and member of the Securities Enforcement & Litigation team. Brian counsels financial institution clients with a focus on issues that cut across their broker-dealer, investment adviser, and bank fiduciary business models.

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FINRA Releases 2022 Report on Examination and Risk Monitoring Program

By Elizabeth J. Hogan, John Ayanian, Brian Baltz, Emily P. Gordy, Clare E. Reardon, Chelsey Dawson Klein & McGuireWoods LLP on March 16, 2022

Posted in Cybersecurity

In February, the Financial Industry Regulatory Authority released the 2022 Report on FINRA’s Examinations and Risk Monitoring Program, providing guidance to the broker-dealer industry.

Read on for a discussion of key topics addressed in this year’s report.

SEC Onslaught of Proposed Rules Turns Focus to Investment Advisers

By Brian Baltz, John Ayanian, Elizabeth J. Hogan, Louis D. Greenstein & Molly White on March 2, 2022

Posted in Financial Information

The Securities and Exchange Commission continues to propose rules at a rapid pace. Three of the most recent proposed rules would significantly impact investment advisers by:

Requiring documentation of registered investment adviser compliance reviews;
Establishing cybersecurity risk management and reporting requirements for investment advisers, investment companies and business development companies;
Updating and accelerating beneficial ownership

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Brian Baltz

FINRA Releases 2022 Report on Examination and Risk Monitoring Program

SEC Onslaught of Proposed Rules Turns Focus to Investment Advisers

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