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Financial Services Update, Vol. 13, Issue 43
  • Winston & Strawn LLP
  • USA, United Kingdom, European Union
  • November 19 2018

The topic of Brexit has been the subject of a high degree of anxiety within the financial services industry. In a potentially positive development, on


Broker-Dealer Sanctioned US $1.575 Million by FINRA and Other SROs for Market Access Rule Violations
  • Katten Muchin Rosenman LLP
  • USA
  • April 15 2018

Last week, a broker-dealer was fined US $1.575 million by the Financial Industry Regulatory Authority and other self-regulatory organizations for not


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


White Collar Enforcement RoundupFinancial Crimes Edition
  • Manatt Phelps & Phillips LLP
  • USA
  • July 21 2016

This month, we look at a sampling of enforcement actions announced in recent weeks by agencies ranging from the DOJ and the SEC on the one hand to


SEC adopts final rule implementing Dodd-Frank whistleblower program
  • Kramer Levin Naftalis & Frankel LLP
  • USA
  • June 6 2011

On May 25, 2011, by a divided 3-2 vote, the Securities and Exchange Commission adopted a final rule implementing the whistleblower incentives provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank”).


This week in securities litigation (May 27, 2011)
  • Dorsey & Whitney LLP
  • USA
  • May 27 2011

The Commission issued it controversial new Dodd-Frank whistleblower rules by a 3 to 2 vote this week.


This week in securities litigation (May 20, 2011)
  • Dorsey & Whitney LLP
  • USA
  • May 20 2011

This week SEC Enforcement continued to implement its new cooperation initiatives, moving forward from the spectacle of the Stanford testimony last week and the past.


FINRA issues regulatory notice reminding firms of FCPA obligations
  • Porter Wright Morris & Arthur LLP
  • USA
  • March 22 2011

On Friday, March 18, 2011, FINRA issued Regulatory Notice 11-12 entitled "FINRA Reminds Firms of Their Obligations Under the Foreign Corrupt Practices Act" (available here).


SEC proposes rules to implement Dodd-Frank whistleblower program
  • Kramer Levin Naftalis & Frankel LLP
  • USA
  • November 8 2010

On November 3, 2010, by a unanimous vote, the Securities and Exchange Commission proposed rules to implement the whistleblower incentives and protection provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 ("Dodd-Frank").


2009 year in review: SEC and SRO selected enforcement cases and developments regarding broker-dealers
  • Morgan Lewis
  • USA
  • January 28 2010

The Morgan Lewis Securities Litigation and Enforcement Practice has published an outline highlighting selected U.S. Securities and Exchange Commission (SEC or the Commission), Financial Industry Regulatory Authority (FINRA), and NYSE Regulation enforcement actions and developments regarding broker-dealers during 2009.