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Preparing for the Consolidated FINRA Registration Rules and Restructured Examination Requirements

USA - June 25 2018 In October 2017, the Financial Industry Regulatory Authority (FINRA) announced, through Regulatory Notice 17-30 (the “Notice”), that the U.S...

Jennifer D. Morton, P. Sean Kelly, Russell D. Sacks, Steven Blau.


FINRA Releases New Guidance Regarding Social Media and Digital Communications

USA - June 26 2017 On April 25, 2017, the Financial Industry Regulatory Authority (“FINRA”) issued Regulatory Notice 17-18, Social Media and Digital Communications (the...

Jennifer D. Morton, P. Sean Kelly, Russell D. Sacks, Steven Blau.


FINRA Proposes Limited Safe Harbor for Desk Commentaries From Certain Requirements of FINRA Equity and Debt Research Rules

USA - May 3 2017 FINRA recently published a proposal to establish a limited safe harbor (the "Safe Harbor") for desk commentaries from certain requirements of FINRA's...

Jennifer D. Morton, Russell D. Sacks, Steven Blau.


FINRA Proposes Broad Range of Amendments to Corporate Financing Rule

USA - April 27 2017 On April 12, 2017, the US Financial Industry Regulatory Authority, Inc. (“FINRA”) published proposed amendments to FINRA Rule 5110, which regulates...

Jennifer D. Morton, Russell D. Sacks, Steven Blau.


FINRA Proposes to Permit Use of PredictionsProjections of Investment Strategy Performance

USA - March 9 2017 In February, the US Financial Industry Regulatory Authority (“FINRA”) proposed amendments to its rule regarding communications with the public, Rule...

Nathan J. Greene, Jennifer D. Morton, Russell D. Sacks, Steven Blau.