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FINRA Plans Major Changes to Expungement Rules

USA - February 26 2018 FINRA recently issued Notice to Members 17-42, which proposes sweeping changes to the process by which a securities broker may seek to expunge…

Massachusetts Offers Policy Guidance on Investment Advisers’ Use of Robo-Advisers

USA - August 11 2016 As robo-advisers continue to grow in popularity with investors, especially millennial investors, at least one regulator is taking a closer look. On…

Robert S. Frenchman

OCC Issues New Guidance and Policies on Enforcement Actions and Civil Monetary Penalties Against Institutions and Individuals

USA - April 4 2016 The Office of the Comptroller of the Currency (“OCC”) recently released new guidance on the process it uses when considering enforcement actions…

States challenge new SEC rules on small public offerings

USA - October 21 2015 Two states - Massachusetts and Montana - have filed suit against the U.S. Securities and Exchange Commission (SEC), challenging the validity of the…

FINRA Plans Major Changes to Rules Governing the Expungement of Customer Complaint Information

USA - February 26 2018 FINRA recently issued Notice to Members 17-42, which proposes sweeping changes to the existing process for expunging reference to a customer complaint…