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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.


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 Capital Acquisition Broker Proposal Approved

USA - September 20 2016 Broker-Dealers Conducting Only Certain Private Fund Placement Services or Corporate Finance or Investment Banking Advisory Activities May Elect to Be...

Nathan J. Greene, Jennifer D. Morton, Jenny Ding Jordan, Charles S. Gittleman, Russell D. Sacks.


FINRA Proposes Revisions to Gifts, Gratuities and Non-Cash Compensation Rules

USA - August 16 2016 On August 5, 2016, FINRA in Regulatory-Notice 16-291 proposed revisions to its regulation of broker-dealer gifts, entertainment and non-cash...

Nathan J. Greene, Jennifer D. Morton, Jenny Ding Jordan, 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.