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SEC Continues to Use Advance Data Analytics to Investigate Insider Trading
  • Proskauer Rose LLP
  • USA
  • June 1 2017

The SEC has continued to pursue a number of insider trading cases this year, both large-scale and small. Some of those matters involved trades that

FINRA’s Board Continues To Bend In the Wind Of Criticisim
  • Ulmer & Berne LLP
  • USA
  • May 13 2017

On Wednesday, the FINRA Board met and discussed two topics that I recently blogged about: recidivist brokers and unpaid arbitration awards. In

The Financial Report, 11 May 2017, US Exchanges and Self-Regulatory Organizations
  • DLA Piper
  • USA
  • May 11 2017

MSRB reminds municipal advisors of Series 50 exam deadline. The Municipal Securities Rulemaking Board issued a notice to remind municipal advisor

The Financial Report October 08, 2015 - exchanges and self-regulatory organizations
  • DLA Piper
  • USA
  • October 8 2015

The Municipal Securities Rulemaking Board (MSRB) is seeking public comment on a proposal to lengthen the term of board member service from three to

Hedge fund manager added to a father-son insider trading case
  • Dorsey & Whitney LLP
  • USA
  • October 24 2011

Insider trading is a key focus of SEC enforcement.

Pay-to-play spotlight: SEC delays effective date of third- party solicitor rule; MSRB withdraws proposed Rule G-42
  • Wiley Rein LLP
  • USA
  • September 15 2011

Earlier this summer, the Securities and Exchange Commission (SEC) adopted several important amendments concerning the third-party solicitor provisions of Rule 206(4)-5, the SEC pay-to-play rule.

FINRA amends and delays implementation of anti-spinning rules
  • Holland & Knight LLP
  • USA
  • May 16 2011

The Financial Industry Regulatory Authority, Inc. (FINRA) proposed an amendment to FINRA Rule 5131 to simplify the anti-spinning provisions and to delay the implementation of the new rules from May 27, 2011, until September 26, 2011.

FINRA proposes rule changes to FINRA Rule 5131
  • Katten Muchin Rosenman LLP
  • USA
  • May 6 2011

The Financial Industry Regulatory Authority has proposed rule changes to FINRA Rule 5131 (New Issue Allocations and Distributions) to simplify the rule's spinning provision and to delay until September 26 the implementation date of the rule's provisions prohibiting spinning and purchasing of new issues in the secondary market prior to the start of trading of such shares in the secondary market.

“Sunshine is the best disinfectant”: a financial advisory update
  • McDermott Will & Emery
  • USA
  • April 14 2011

Since December 2010, the Delaware Court of Chancery has been emphasizing the need for additional disclosures relating to financial advisors in merger and acquisition transactions.

FINRA Rule 5131: what fund managers and broker-dealers should think about before May 27, 2011
  • Lowenstein Sandler LLP
  • USA
  • April 12 2011

On May 27, 2011, FINRA Rule 5131, New Issue Allocations and Distributions, becomes effective.