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FINRA Pay-to-Play Rule Effective August 20, 2017
  • Skadden Arps Slate Meagher & Flom LLP
  • USA
  • October 27 2016

On October 24, 2016, the Financial Industry Regulatory Authority (FINRA) announced in Regulatory Notice 16-40 that its pay-to-play and related


FINRA Seeks Comments on Proposed Gift Rule Changes
  • Skadden Arps Slate Meagher & Flom LLP
  • USA
  • August 23 2016

The Financial Industry Regulatory Authority (FINRA) has filed a regulatory notice seeking comment on proposed changes to its gift, business


FINRA Extends Deadline for SEC to Act on Proposed FINRA Pay-to-Play Rule
  • Skadden Arps Slate Meagher & Flom LLP
  • USA
  • June 29 2016

On June 21, 2016, the Financial Industry Regulatory Authority extended the time for the Securities and Exchange Commission (SEC) to act on Proposed


"SEC Extends Comment Period on Proposed FINRA Pay-to-Play Rule "
  • Skadden Arps Slate Meagher & Flom LLP
  • USA
  • April 13 2016

On March 29, 2016, the Securities and Exchange Commission (SEC) filed an order instituting proceedings (the Order) intended to determine whether to


SEC Approves FINRA Pay-to-Play Rule
  • Skadden Arps Slate Meagher & Flom LLP
  • USA
  • December 26 2015

This week, on Thursday, August 25, 2016, the SEC approved FINRA Proposed Rules 2030 and 4580 (the Proposed Rules) as they had been proposed by FINRA


FINRA and MSRB Submit Pay-to-Play Rules to SEC for Approval
  • Skadden Arps Slate Meagher & Flom LLP
  • USA
  • December 17 2015

On December 16, 2015, the Financial Industry Regulatory Authority (FINRA) and Municipal Securities Rulemaking Board (MSRB) submitted their respective


Update on compliance date of SEC rule 206(4)-5's placement agent provision
  • Skadden Arps Slate Meagher & Flom LLP
  • USA
  • June 25 2015

On June 25, 2015, the Securities and Exchange Commission (SEC) issued Release No. IA-4129 setting July 31, 2015, as the compliance date for SEC Rule


SEC announces municipal advisor examination initiative
  • Skadden Arps Slate Meagher & Flom LLP
  • USA
  • August 20 2014

On August 19, 2014, the Securities and Exchange Commission (SEC) announced that its Office of Compliance Inspections and Examinations (OCIE) will



Patricia M. Zweibel
  • Skadden Arps Slate Meagher & Flom LLP