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The Changing Fiduciary Duty Landscape in a Trump Presidency

USA - November 14 2016 The fiduciary standards for institutions and individuals providing investment advice throughout the retail investment and municipal securities markets...

Nathan J. Greene, Jennifer D. Morton, Jenny Ding Jordan, John D. Reiss, Kenneth J. Laverriere, Russell D. Sacks.


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.


SEC requests comment on proposed FINRA rules regarding payment to unregistered persons

USA - October 15 2014 On September 25, 2014, the U.S. Securities and Exchange Commission (the "SEC") solicited public comment on proposed FINRA Rule changes (the...

Jennifer D. Morton, Charles S. Gittleman, Russell D. Sacks.


FINRA Proposes Revisions to Fixed-Income Research Rule

USA - May 26 2016 Earlier this week, FINRA filed with the SEC proposed revisions (the "Proposed Revisions") to Rule 2242, FINRA's new fixed-income research rule (the...

Jennifer D. Morton, Jenny Ding Jordan, Charles S. Gittleman, 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.