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Is There Anything Left of the Fiduciary Rule?

USA - June 22 2018 The issue over the Fiduciary Rule, and whether it will be implemented, revised, vacated, forgotten, etc. has been ongoing. In March 2018, the Fifth…

FINRA Proposes New Rule Concerning Outside Business Activities

USA - March 9 2018 FINRA currently requires registered representatives to inform their broker-dealer of any proposed outside business activities that they may be…

FINRA 2018 Priorities Letter Released

USA - January 9 2018 FINRA recently published its 2018 Annual Regulatory and Examination Priorities Letter, which identifies opportunities for firms to improve their…

New FINRA Rules Address Elderly Abuse

USA - December 14 2017 On February 5, 2018, FINRA will enact two rules to assist brokers with addressing financial exploitation of the elderly. Statistically, the elderly…

2nd Circuit Weighs in on Certifying Classes Involving Foreign Securities

USA - July 17 2017 In In re Petrobras Securities Litigation, the Second Circuit Court of Appeals recently issued an opinion regarding the standards for certifying a…