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SEC Proposes Rules Addressing Broker-Dealer and Investment Adviser Standards of Conduct
  • Dechert LLP
  • USA
  • April 24 2018

On April 18, 2018, the U.S. Securities and Exchange Commission (SEC) voted 4-1 to propose a package of rules and interpretations (Proposals) intended


SEC Proposes Standards of Conduct for Broker-Dealers, Investment Advisers
  • Morgan Lewis
  • USA
  • April 20 2018

In a first step toward developing standards for advice to retail customers, the Securities and Exchange Commission recently proposed rules and


To Be Delayed: Final Implementation of FINRA Rule 4210 for Covered Agency Transactions Delayed
  • Morgan Lewis
  • USA
  • April 20 2018

In what seems to be déjà vu, broker-dealers can (again) breathe a collective sigh of relief. The Financial Industry Regulatory Authority (FINRA) has


FINRA delays implementation of Rule 4210
  • Eversheds Sutherland (US) LLP
  • USA
  • April 20 2018

Earlier today, the Financial Industry Regulatory Authority, Inc. (FINRA) filed a proposal with the Securities and Exchange Commission (SEC) to further


FINRA Publishes Regulatory Notice Regarding 2018 GASB Accounting Support Fee
  • Katten Muchin Rosenman LLP
  • USA
  • April 20 2018

On April 17, the Financial Industry Regulatory Authority issued Regulatory Notice 18-12, which announces that FINRA will collect a total of $8,346


Whiplash: When a Court Finds That the Parties’ Claims Are Within the Scope of a Valid Arbitration Agreement, But It Will Not Compel Arbitration
  • Mintz Levin
  • USA
  • April 17 2018

Is there such a thing as an arbitration joke? Here is a test. Two plaintiffs walk into a court, claiming that each was wrongfully terminated by a bank


FINRA Enforcement: New Direction for the Regulator
  • McGuireWoods LLP
  • USA
  • April 16 2018

With new leadership at the helm of the Financial Industry Regulatory Authority (FINRA), the broker-dealer industry’s primary self-regulator, and the


Broker-Dealer Sanctioned US $1.575 Million by FINRA and Other SROs for Market Access Rule Violations
  • Katten Muchin Rosenman LLP
  • USA
  • April 15 2018

Last week, a broker-dealer was fined US $1.575 million by the Financial Industry Regulatory Authority and other self-regulatory organizations for not


Corporations Committee E-Bulletin: April 13, 2018
  • Calbar BLS
  • USA
  • April 13 2018

The challenge for many small businesses is having access to cash when starting their business operations. In 2012, an easier path to capital raising


FINRA Proposed a Rule Change With Respect to the Establishment of a Second Trade Reporting Facility
  • Katten Muchin Rosenman LLP
  • USA
  • April 13 2018

The Financial Industry Regulatory Authority recently filed a proposed rule change with the Securities and Exchange Commission to adopt rules relating