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FINRA Issues Report on Recent Examinations

USA - December 17 2018 On December 6, the Financial Industry Regulatory Authority (FINRA) published its “2018 Report on FINRA Examination Findings” (Report). The Report...

Michael R. Trocchio, Andrew J. Sioson, James Brigagliano, W. Hardy Callcott, Michael D. Wolk, Timothy B. Nagy.


Financial Industry Regulatory Authority Issues Its 2018 Examination Priorities

USA - January 16 2018 On January 8, the Financial Industry Regulatory Authority (FINRA) released its annual Regulatory and Examination Priorities Letter (Letter) to...

Andrew J. Sioson, James Brigagliano, W. Hardy Callcott, Michael D. Wolk, Timothy B. Nagy.


Financial Industry Regulatory Authority Issues Report on Recent Examination Findings

USA - January 4 2018 On Dec. 6, the Financial Industry Regulatory Authority (FINRA) published its "Report on FINRA Examination Findings" (Report). The Report highlights...

Andrew J. Sioson, James Brigagliano, W. Hardy Callcott, Michael D. Wolk, Timothy B. Nagy.


IEX Begins Operation as an Exchange Following Interpretive Guidance Adopted by the SEC

USA - September 6 2016 On September 2, 2016, the Investors' Exchange, LLC (IEX) commenced full operations as a registered national securities exchange. After receiving over...

Charles A. Sommers, James Brigagliano.


Proposed Legislation Would Increase 13D and Other Securities Disclosure Requirements for Hedge Funds and Others

USA - May 31 2016 Senators Tammy Baldwin (D-Wis.) and Jeff Merkley (D-Ore.) have formally introduced legislation entitled the Brokaw Act (S. 2720) that seeks...

Barry W. Rashkover, Katie Klaben, Neal E. Sullivan.