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Results:11-20 of 4,295

Financial Services Update, Vol. 13, Issue 42
  • Winston & Strawn LLP
  • USA, United Kingdom
  • November 12 2018

Last Wednesday, federal prudential bank regulators proposed to reduce the call reporting burden on smaller banks by expanding the number of banks


Securities Litigation in the USA
  • Skadden Arps Slate Meagher & Flom LLP
  • USA, Global
  • November 12 2018

A structured guide to securities litigation in the USA


11th Circuit Denies Access to FINRA Arbitration where Dispute did not Arise out of the FINRA Member's Business Activities
  • Bressler, Amery & Ross PC
  • USA
  • November 7 2018

The Eleventh Circuit's latest arbitration-related decision is a brush-back of the claimants securities bar's efforts to extend the breadth of who can


SEC Provides Guidance on Chief Compliance Officer Liability as well as CEO and Firm Liability Related Thereto
  • Winston & Strawn LLP
  • USA
  • November 6 2018

In a review of a FINRA disciplinary proceeding, the Securities and Exchange Commission (the “Commission”) recently issued an opinion (the “Opinion”)


Money Talks, And FINRA Is Listening
  • Ulmer & Berne LLP
  • USA
  • November 5 2018

Last year I wrote about FINRA’s effort to encourage firms to self-report their problems, pausing to wonder at the suggestion attributed to Jessica


Financial Services Update, Vol. 13, Issue 41
  • Winston & Strawn LLP
  • USA
  • November 5 2018

On October 31, 2018, the U.S. Commodity Futures Trading Commission (“CFTC”) Office of the Chief Economist (“OCE”) issued a report highlighting the


FINRA fines broker-dealer firm for AML program deficiencies
  • Buckley Sandler LLP
  • USA
  • November 2 2018

On October 29, the Financial Industry Regulatory Authority (FINRA) entered into a Letter of Acceptance, Waiver, and Consent (AWC), fining a


Senior Investor Update: Minnesota Enacts Safe Seniors Financial Protection Act
  • Fredrikson & Byron PA
  • USA
  • November 1 2018

Over the last few years, the securities industry has seen increased efforts from the Financial Industry Regulatory Authority (FINRA), the Securities


FOCUS Report No-Action Relief Granted
  • Morgan Lewis
  • USA
  • October 31 2018

The staff of the Securities and Exchange Commission’s (SEC) Division of Trading and Markets (Staff) issued a no-action letter on October 29 to the


All’s Fair When It Comes To Arbitrator Ranking
  • Ulmer & Berne LLP
  • USA
  • October 30 2018

I just read an article about a research study conducted of FINRA arbitrations by three people associated with Harvard, Stanford, and the University of