FEND

Fincen moves to rewrite banks' due diligence requirements A forthcoming rule from Treasury's Financial Crimes Enforcement Network will spell out banks' obligations to identify the true identities and beneficial ownership of its clients, even as the administration eliminated most U.S. beneficial ownership reporting.

Alert Forced Arbitration One Year After the SEC Reversed Course | News & Insights | Labaton Keller Sucharow Partner Lauren A. Ormsbee and Associate Jacqueline E. Lacovara are the authors of our latest Investor Alert, “Forced Arbitration One Year After the SEC Reversed Course.”  In this alert, the authors examine how the Securities and Exchange Commission’s (SEC’s) September 2025 policy statement ...

SEC Charges South Florida Resident and His Company for Alleged Investment Scheme Defrauding Law Enforcement Secure .gov websites use HTTPS A lock () or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

(submitted by FEND Securities Expert Witness)

SEC Approves FINRA's Overhaul of Outside Activities Rules for Broker-Dealer Personnel | Insights | Sidley Austin LLP On September 15, 2026, the SEC approved a long-anticipated Financial Industry Regulatory Authority (FINRA) rule change that consolidates and modernizes the regulatory framework governing outside activities of broker-dealer associated persons.1 The new rule — FINRA Rule 3290 — replaces the existi...

EU Trade Deals Must Uphold The Due Diligence Rules Europe Passed Only four EU trade agreements since 2022 allow any sanction for breaking labour and climate commitments.

law.vanderbilt.edu

SEC Proposes to Modernize Rules for Registered Transfer Agents Secure .gov websites use HTTPS A lock () or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

(submitted by FEND Securities Expert Witness)

Finra Pulls Downloadable Enforcement, Arbitration Data Shortly After Posting The regulator said it removed download links due to functionality issues and plans to restore them as part of a broader transparency effort.

Doing Due Diligence Not The Same As Rejecting Facts Those who fear backlash against data centers misinterpret evidence-based skepticism for bad faith and replace transparency and action with respectability politics. The Sunday News-Register’s Aug. 29 editorial (“Data Center Debate Demands Good Faith”) gets one thing right: Wheeling residents de...

Pallone Seeks Answers from Arbitration Firms on No Surprises Act Compliance | Energy and Commerce Committee Ranking Member Frank Pallone, Jr. (D-NJ) today sent oversight letters to six companies certified as independent dispute resolution entities (IDREs) under the No Surprises Act, requesting detailed information on how each company is conducting arbitration and complying wi...