Articles: 1-10 of 171
FINRA 2023 Exam Priorities
USA - January 12 2023 Every year the Financial Institution Regulatory Authority (FINRA) issues its “Report on FINRA’s Examination and Risk Monitoring Program.” The Report…
Is There Anything Left of the Fiduciary Rule?
USA - June 22 2018 The issue over the Fiduciary Rule, and whether it will be implemented, revised, vacated, forgotten, etc. has been ongoing. In March 2018, the Fifth…
SCOTUS: Pure ‘33 Act Class Actions Not Removable Under SLUSA
USA - March 21 2018 A unanimous Supreme Court today held that “covered class actions” over exchange-traded securities are not removable from state courts under SLUSA when…
FINRA Proposes New Rule Concerning Outside Business Activities
USA - March 9 2018 FINRA currently requires registered representatives to inform their broker-dealer of any proposed outside business activities that they may be…
“Clearing & Settlement” Exception to Trustee’s Avoiding Powers Saves Only Payments “To” (not “Through”) Market Intermediaries
USA - March 5 2018 Last week, the unanimous Supreme Court clarified that the “clearing and settlement” exception to a bankruptcy trustee’s avoiding powers covers only…
Dodd-Frank Whistleblowers Must Have Reported to SEC
USA - February 22 2018 In a triumph of positive statutory law over Chevron deference to the administrative state, the unanimous Supreme Court held this week that Dodd-Frank…
SEC Announces Share-Class Enforcement Initiative for Advisers
USA - February 19 2018 After several years of examination focus and a series of enforcement actions, the SEC’s Enforcement Division on February 12 announced a “Share Class…
Cryptocurrency Roundup - Market Rebounds After SEC Chair Expresses Cautious Optimism But ETFs Are Still Off The Table…For Now
USA - February 12 2018 The cryptocurrency market took a nosedive earlier this month after the stock market tanked and the Peoples Bank of China issued a statement that it…
FINRA Senior Protection Rules Effective Feb. 5
USA - January 29 2018 A pair of FINRA Rule revisions designed to protect seniors from financial exploitation become effective February 5. The Rules require member firms to…
Supreme Court to Review SEC ALJs
USA - January 16 2018 On January 12, the US Supreme Court agreed to review the constitutionality of the SEC’s administrative law judges. On November 29, 2017, the SEC did…
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