We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
Results 1 to 5 of 13
Most popular |Most recent


Financial Regulatory Developments focus

United Kingdom, European Union - December 17 2018 Basel Committee on Banking Supervision Agrees Next Steps for Basel Standards On November 29, 2018, Central bankers and banking supervisors from over...

Bradley K. Sabel, Tobia Croff, John Adams, Kolja Stehl, Reena Agrawal Sahni, Matthew Readings, Nathan J. Greene, Hervé Letréguilly, Jennifer D. Morton, Timothy J. Byrne, Ellerina Teo, Susanna Charlwood, Oliver Linch, Wilf Odgers, Inyoung Song, Jennifer Oosterbaan, Simon Dodds, Philip Urofsky, Barnabas W.B. Reynolds, Thomas Donegan, Russell D. Sacks, Geoffrey B. Goldman, Donna M. Parisi.


Financial Regulatory Developments Focus

United Kingdom, European Union, Global - November 30 2018 UK Parliamentary Committee Launches Inquiry into Operational Resilience in the Financial Services Sector On November 23, 2018, the U.K. Treasury...

Bradley K. Sabel, Tobia Croff, John Adams, Kolja Stehl, Reena Agrawal Sahni, Matthew Readings, Jennifer D. Morton, Timothy J. Byrne, Ellerina Teo, Susanna Charlwood, Oliver Linch, Dr. Sultan Almasoud, Wilf Odgers, Inyoung Song, P. Sean Kelly, Jennifer Oosterbaan, Simon Dodds, Philip Urofsky, Thomas Donegan.


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.