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Results:1-10 of 17

Preparing for the Consolidated FINRA Registration Rules and Restructured Examination Requirements
  • Shearman & Sterling LLP
  • USA
  • June 25 2018

In October 2017, the Financial Industry Regulatory Authority (FINRA) announced, through Regulatory Notice 17-30 (the “Notice”), that the U.S


FinCEN’s Customer Due Diligence Rule Becomes Effective; FinCEN and FINRA Guidance Provides Interpretive Color for Firms Working to Comply
  • Shearman & Sterling LLP
  • USA
  • May 21 2018

May 11, 2018 marked the compliance date for the Customer Due Diligence Requirements for Financial Institutions rule issued by the U.S. Treasury


FINRA Releases New Guidance Regarding Social Media and Digital Communications
  • Shearman & Sterling LLP
  • USA
  • June 26 2017

On April 25, 2017, the Financial Industry Regulatory Authority (“FINRA”) issued Regulatory Notice 17-18, Social Media and Digital Communications (the


FINRA Proposes Limited Safe Harbor for Desk Commentaries From Certain Requirements of FINRA Equity and Debt Research Rules
  • Shearman & Sterling LLP
  • USA
  • May 3 2017

FINRA recently published a proposal to establish a limited safe harbor (the "Safe Harbor") for desk commentaries from certain requirements of FINRA's


FINRA Proposes Broad Range of Amendments to Corporate Financing Rule
  • Shearman & Sterling LLP
  • USA
  • April 27 2017

On April 12, 2017, the US Financial Industry Regulatory Authority, Inc. (“FINRA”) published proposed amendments to FINRA Rule 5110, which regulates


FINRA Proposes to Permit Use of PredictionsProjections of Investment Strategy Performance
  • Shearman & Sterling LLP
  • USA
  • March 9 2017

In February, the US Financial Industry Regulatory Authority (“FINRA”) proposed amendments to its rule regarding communications with the public, Rule


SEC Expands to Retail Customer Debt Transactions Disclosure of Broker-Dealer Mark-Ups and Mark-Downs
  • Shearman & Sterling LLP
  • USA
  • January 19 2017

Currently, U.S. broker-dealers are not required to disclose their compensation in respect of fixed-income transactions effected as principal. In


The Changing Fiduciary Duty Landscape in a Trump Presidency
  • Shearman & Sterling LLP
  • USA
  • November 14 2016

The fiduciary standards for institutions and individuals providing investment advice throughout the retail investment and municipal securities markets


FINRA Capital Acquisition Broker Proposal Approved
  • Shearman & Sterling LLP
  • USA
  • September 20 2016

Broker-Dealers Conducting Only Certain Private Fund Placement Services or Corporate Finance or Investment Banking Advisory Activities May Elect to Be


FINRA Proposes Revisions to Gifts, Gratuities and Non-Cash Compensation Rules
  • Shearman & Sterling LLP
  • USA
  • August 16 2016

On August 5, 2016, FINRA in Regulatory-Notice 16-291 proposed revisions to its regulation of broker-dealer gifts, entertainment and non-cash