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Results: 1-10 of 161

Georgia investment advisor launches Article II constitutional challenge to the SEC’s use of ALJs and seeks discovery

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • February 20 2015

Yesterday, Gray Financial Group, Inc. ("Gray"), an Atlanta based investment advisor and Greenberg Traurig client, and two of its officers filed a

SEC, FINRA issue reports on cybersecurity

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • February 5 2015

In the wake of recent cybersecurity breaches, the SEC and FINRA simultaneously issued reports this week to the securities industry summarizing

SEC proposes amendments to registration requirements further implementing the JOBS Act

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • January 21 2015

On Dec. 18, 2014, the Securities and Exchange Commission (SEC) proposed amendments to current rules under Section 12(g) of the Securities Exchange Act

SEC announces 2015 examination priorities

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • January 15 2015

On Jan. 13, 2015, the Office of Compliance Inspections and Examinations released its annual list of examination priorities for 2015. A copy of the

Payments to unregistered persons the next round

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • January 14 2015

The role of the Financial Industry Regulatory Authority (FINRA) in dealing with payments to unlicensed persons for securities-related and

New background check obligations on the horizon for securities broker-dealers

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • January 13 2015

Earlier in 2014, the SEC incorporated old NASD Rule 3010 (the "Prior Rule") - related to employee supervision - into The Financial Industry

FINRA rings in 2015 with its annual priorities letter for broker-dealers

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • January 7 2015

Yesterday, FINRA released its tenth annual Regulatory and Examination Priorities Letter in which it identifies its areas of examination focus for

Congress enacts changes to Dodd-Frank; potential for more changes in 114th Congress

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • December 30 2014

Prior to adjournment, the 113th Congress passed the first changes to the Dodd-Frank Wall Street Reform and Consumer Protection Act (P.L. 111-203

Gaining whistleblower protection: engaging in activity protected by Dodd-Frank is not enough

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • November 19 2014

Earlier this month, a district court ruled that an employee simply engaging in activity protected by the Dodd-Frank Act's anti-retaliation provision

You operate in Africa, employ only Africans, and deal with only African governments: are you exempt from U.S. FCPA compliance? Maybe not

  • Greenberg Traurig LLP
  • -
  • Africa, USA
  • -
  • November 6 2014

Even though a company may operate only in Africa, the DOJ and SEC have adopted a broad view of their jurisdiction and have used a relatively small