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USA - July 25 2012
The Financial Industry Regulatory Authority (FINRA) has adopted amendments to its new member application (Form NMA) and has also adopted a new electronic continuing membership application (Form CMA).
USA - June 24 2011
Despite winning in court to protect valuable copyrights, Wall Street firms are unable to protect their valuable trading recommendations as federal and state laws collide in Barclays Capital Inc. v. Theflyonthewall.com, Inc.1 (pending any potential review on appeal).
USA - May 16 2011
Please note the following recent developments with respect to the new FINRA Rule 5131, as described in our previous client alert entitled "New FINRA Rule 5131 Relating to Allocation and Distribution of Shares in IPOs Approved by the SEC", dated March 23, 2011.
USA - March 23 2011
On November 29, 2010, the Financial Industry Regulatory Authority, Inc. ("FINRA") announced that FINRA Rule 5131, approved by the Securities and Exchange Commission ("SEC"), will be effective on May 27, 2011.
USA - March 14 2011
The Financial Industry Regulatory Authority, Inc. ("FINRA") has consolidated NASD rule 3070 and NYSE rule 351 on reporting requirements into FINRA rule 4530.
