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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, Jenny Ding Jordan, P. Sean Kelly, Russell D. Sacks.


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, Jenny Ding Jordan, Russell D. Sacks.


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, Jenny Ding Jordan, Russell D. Sacks.


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, Jenny Ding Jordan, Russell D. Sacks.


SEC Expands to Retail Customer Debt Transactions Disclosure of Broker-Dealer Mark-Ups and Mark-Downs

USA - January 19 2017 Currently, U.S. broker-dealers are not required to disclose their compensation in respect of fixed-income transactions effected as principal. In...

Jennifer D. Morton, Jenny Ding Jordan, Russell D. Sacks.