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Financial Services Update, Vol. 13, Issue 37
  • Winston & Strawn LLP
  • USA
  • October 8 2018

Over the weekend, the Senate held the final confirmation vote for Supreme Court nominee Brett Kavanaugh. Passing the Senate vote by a 50 to 48 margin


Financial Services Update, Vol. 13, Issue 34
  • Winston & Strawn LLP
  • USA
  • September 17 2018

Last week saw a series of firsts in the regulation of cryptocurrencies, as regulators expanded their efforts to enforce federal securities laws in the


Amended FINRA Registration Rules To Take Effect October 1
  • Katten Muchin Rosenman LLP
  • USA
  • September 7 2018

Amended Financial Industry Regulatory Authority registration, qualification and continuing education rules will become effective on October 1. The


Financial Services Update, Vol. 13, Issue 31
  • Winston & Strawn LLP
  • USA
  • August 20 2018

On August 17th, the Securities and Exchange Commission (the “SEC”) adopted amendments to certain disclosure requirements as part of an initiative


NYSE Proposes Change to the Definition of “Membership Organization” under Rule 2
  • Mayer Brown
  • USA
  • August 14 2018

The New York Stock Exchange LLC ("NYSE") proposes to amend Rule 2 to remove the FINRA or other national securities exchange membership requirement for


FINRA Stats Reveal Horribly Kept Secret: Small Firms Are The Heart And Soul Of The Brokerage Industry, But Dying Off, Nevertheless
  • Ulmer & Berne LLP
  • USA
  • August 10 2018

If you are like me, and spend your idle time twiddling around the FINRA website, then you already know that FINRA publishes a variety of mathematical


FINRA Seeks Comment on Proposed Amendments to the Membership Application Program Rules
  • Katten Muchin Rosenman LLP
  • USA
  • August 3 2018

On July 26, the Financial Industry Regulatory Authority (FINRA) issued a Regulatory Notice requesting comment on a proposal to the NASD Rule 1010


NYSE Proposes to Amend Rule Requiring Registered Broker-Dealers to be Members of FINRA or Another Exchange
  • Katten Muchin Rosenman LLP
  • USA
  • July 27 2018

On July 12, the New York Stock Exchange (NYSE) proposed an amendment to NYSE Rule 2, which requires that an NYSE member also be a member of the


Guidance on Direct Listings: NYSE Memo and FINRA Notice 18-11
  • Mayer Brown
  • USA
  • July 13 2018

On February 2018, the Securities and Exchange Commission (“SEC”) approved the New York Stock Exchange’s (the “NYSE”) proposal to permit qualifying


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