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FINRA’s new debt and equity research rules herald wide-ranging changes for firms

USA - November 12 2015 Following approval by the Securities and Exchange Commission (SEC) this summer, the Financial Industry Regulatory Authority, Inc.’s (FINRA) new rules...

David M. Katz, James Brigagliano.

Accelerated share repurchase transactions: a primer for company counsel

USA - October 26 2015 When a public company is engaged in or contemplating a share repurchase program, it often considers an accelerated share repurchase (ASR) transaction...

Paul Michael Jindra, John R. Box, William R. Massey, Prabhat K. Mehta, Jonathan A. Blackburn.

FINRA files comprehensive research proposals

USA - December 29 2014 Last month the Financial Industry Regulatory Authority, Inc. (FINRA) filed two long-awaited proposals governing the issuance of equity and debt...

David M. Katz, James Brigagliano.

The SEC’s final, permanent registration regime for municipal advisors

USA - October 4 2013 The Securities and Exchange Commission (SEC) has finally issued its long-awaited set of final, permanent rules governing the registration and...

Lawrence A. Bauer, Madeleine J. Dowling.

SEC issues FAQS on federal broker-dealer registration exemption for foreign broker-dealers

USA - April 8 2013 The staff of the U.S. Securities and Exchange Commission ("SEC") recently published responses to certain frequently asked questions ("FAQs")...

David M. Katz, Erica M. Guy.