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Results:1-10 of 407

One-Two-Three Punch: SEC and FINRA Announce Actions Against Unregistered Broker, Digital Asset Manager and FINRA Registered Person
  • Sidley Austin LLP
  • USA
  • September 18 2018

On September 11, the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) separately announced three “first of


SEC Issues Statement on Potentially Unlawful Online Platforms for Trading Digital Assets
  • Dechert LLP
  • USA
  • April 3 2018

The staff of the Divisions of Enforcement and Trading and Markets (collectively, Staff) of the U.S. Securities and Exchange Commission (SEC) on March


SEC's OCIE Announces 2018 Examination Priorities
  • Bracewell LLP
  • USA
  • February 27 2018

On February 7, 2018, the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) released its


Corporate Crime & Investigations Update - 9 October 2017
  • Addleshaw Goddard LLP
  • USA, Sudan, United Kingdom
  • October 9 2017

The Financial Industry Regulatory Authority (FINRA), the independent regulatory body for Wall Street, has banned a former Goldman Sachs banker for his


The Financial Report, 28 September 2017, US Exchanges and Self-Regulatory Organizations
  • DLA Piper
  • USA
  • September 29 2017

MSRB provides guidance on compliance programs. The Municipal Securities Rulemaking Board published its Compliance Advisory for Brokers, Dealers and


FINRA Fine Addresses Broker Compensation and Conflicts of Interest
  • Morrison & Foerster LLP
  • USA
  • November 29 2016

A recent enforcement action by FINRA underscores the regulator’s continuing concern regarding how financial advisers are paid to sell investment


Arbitration. Vacatur of Award. Equitable Tolling. Ninth Circuit vacates arbitral award based on deceitful conduct of chairman of the arbitral panel, discovered after the three month deadline to move to vacate had passed.
  • Baker McKenzie
  • USA
  • November 4 2016

Plaintiff held an investment account with Defendant and entered into a "Client Agreement" requiring it to bring all claims or controversies under the


FINRA Revises its Proposed Amendments to Rule 2210
  • Morrison & Foerster LLP
  • USA
  • October 6 2016

In our recent Client Alert, we wrote about the Financial Industry Regulatory Authority, Inc.'s proposed changes to Rule 2210, Communications with the


2016 Mid-Year Cross-Border Government Investigations and Regulatory Enforcement Review
  • Baker & Hostetler LLP
  • USA, United Kingdom, European Union
  • September 14 2016

The U.S. government has continued its aggressive enforcement of U.S. securities laws against individuals and entities located outside the U.S. for


Regulatory Bodies with Oversight of an EB-5 Investment
  • Greenberg Traurig LLP
  • USA
  • August 8 2016

Due to the complex intersection of real estate, corporate, securities and immigration law (among others), an investment in a company under the EB-5