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SEC issues exemptions from large trader reporting rule

USA - November 20 2015 On October 30, 2015, the U.S. Securities and Exchange Commission (SEC) issued an order temporarily exempting certain broker-dealers from the...

Kevin J. Campion, James Brigagliano.


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...

Barbara J. Endres, James Brigagliano.


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...

Barbara J. Endres, James Brigagliano.


SEC issues compliance and disclosure interpretations regarding Rule 506(d) and (e) - the SEC’s Bad Actor requirements relating to private offerings conducted under Rule 506(b)

USA - February 13 2014 Section 926 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd Frank”) requires that the U.S. Securities and Exchange Commission...


FINRA adopts amendment to its “spinning” rule to make it easier for certain third party fund of fund investors to participate in allocations of new issues

USA - January 21 2014 The U.S. Securities and Exchange Commission (the “SEC”) recently approved an amendment to Rule 5131(b) of the Financial Industry Regulatory Authority...

Zeke Johnson.