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COVID-19: Key Considerations for Corporate Insiders Who Trade During the Pandemic

USA - April 6 2020 In response to COVID-19, US companies have been forced to make major changes to their businesses in a short period of time. Demand has collapsed…

Chris Johnstone, Erin Ladd, Benjamin Neaderland

SEC Holds Kokesh Does Not Impact FINRA Industry Bar

USA - August 28 2019 On August 23, 2019, the Securities and Exchange Commission (SEC or Commission) held in In re John M.E. Saad that the US Supreme Court’s decision in…

Leila Ameli-Grillon, Christopher Davies, Matthew T. Martens, Benjamin Neaderland, Jessica Notebaert, Nicole Rabner

FINRA Issues New Guidance on Credit for Extraordinary Cooperation

USA - July 15 2019 On July 11, 2019, the Financial Industry Regulatory Authority (“FINRA”) restated and supplemented prior guidance regarding the circumstances…

Christopher Davies, Bruce H. Newman

FINRA and the MSRB Issue FAQs on Bond Mark-Up Disclosure

USA - July 24 2017 On July 12, 2017, the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB) published new…

Daniel J. Martin, Bruce H. Newman

SEC Approves Bond Mark-Up Disclosure Rules

USA - November 29 2016 On November 17, 2016, the Securities and Exchange Commission (SEC or Commission) approved new rules requiring dealers to disclose on retail customer…

Brandon Becker, Daniel J. Martin, Bruce H. Newman