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SEC Tackles MiFID II Research Issues

USA, European Union - November 3 2017 On October 26, 2017, the staff of the Securities and Exchange Commission (SEC), following consultation with European authorities, issued three...

Brian J. Baltz, Roger P. Joseph, Timothy W. Levin, Steven W. Stone, William Yonge.


Nevada Imposes Fiduciary Obligations on Broker-Dealers and Investment Advisers

USA - June 23 2017 On June 2, Nevada Governor Brian Sandoval approved amendments (the "June 2017 Amendments") to the Nevada financial planner statute (NRS 628A) to...

Monica L. Parry, Mark D. Fitterman.


FINRA Proposes Limited Relief for Desk Commentary

USA - April 20 2017 In Regulatory Notice 17-16, the Financial Industry Regulatory Authority (FINRA) proposes amendments to FINRA Rules 2241 and 2242, which regulate the...


FINRA Rule: Thou Shalt Not Exploit Thine Elders

USA - February 13 2017 The US Securities and Exchange Commission (SEC) has approved a new rule proposed by the Financial Industry Regulatory Authority, Inc. (FINRA) to...

Nicholas J. Losurdo, Kathleen H. Shannon, Mary M. Dunbar.


FINRA’s Proposed Rules on Gifts, Gratuities, and Non-Cash Compensation

USA - September 13 2016 After a two-year silence, the Financial Industry Regulatory Authority (FINRA) has proposed amendments to Rule 3220 (Influencing or Rewarding the...

Catherine "Katy" Courtney Gordon, Steven W. Stone.