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Key Issues Discussed at SIFMA's C&L Society Regional Seminar in Boston

USA - May 31 2019 SIFMA's Compliance & Legal Society held a regional seminar in Boston on May 21, 2019. The conference hosted four panels comprised of regulators and…

Laura T. Ruiz Rivera

Tax Bill Targets Wall Street Trading

USA - March 7 2019 On March 5, 2019, House Democrats, led by Rep. Peter DeFazio (D-OR), reintroduced their proposal to tax securities transactions. The House Bill…

FINRA's Board of Governors Approves Rule Proposals

USA - December 26 2018 Related Services Financial Institutions On December 21, 2018, FINRA issued a News Release and accompanying video summarizing FINRA’s Board of…

FINRA Issues Regulatory Notice 17-42 Requesting Comment and Proposing Amendments to Expungement of Customer Dispute Information

USA - December 11 2017 On December 6, 2017, FINRA issued Regulatory Notice 17-42, which is perhaps FINRA's most far-reaching and expansive proposed codification of the…

FINRA Notice to Arbitrators and Parties on Expanded Expungement Guidance

USA - September 29 2017 On September 25, 2017, FINRA updated its Notice to Arbitrators and Parties on Expanded Expungement Guidance, previously issued in September 2015, to…