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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...

Amy Natterson Kroll, Kathleen H. Shannon, Mary M. Dunbar.


Trading and Markets Enforcement Report - January 2017

USA - January 4 2017 The last several years have seen law enforcement and regulatory bodies sharpen their focus on trading activity in the securities and derivatives...

David I. Miller, Joshua B. Sterling, Ari M. Selman, T. Peter R. Pound, Michael M. Philipp.


Trading and markets enforcement report

USA - August 22 2016 The last several years have seen law enforcement and regulatory bodies sharpen their focus on trading activity in the securities and derivatives...

David I. Miller, Joshua B. Sterling, Ari M. Selman, T. Peter R. Pound, John V. Ayanian.


Crowdfunding Begins on May 16, 2016

USA - May 10 2016 This LawFlash discusses funding portals, which are the intermediariesthrough which crowdfunding will occur, specifically regarding the registration...

Amy Natterson Kroll.


FINRA issues guidance on materiality consultations

USA - February 24 2015 Broker-dealers often ask us whether they must seek approval from the Financial Industry Regulatory Authority (FINRA) to expand the lines of business...

Amy Natterson Kroll, John V. Ayanian, Mary M. Dunbar.