On April 1, 2025, the Texas Association for Money Service Businesses filed a lawsuit in San Antonio federal court challenging the recent Geographic Targeting Order (GTO) applicable to money services businesses (MSBs) located...more
The Securities and Exchange Commission (SEC) has unanimously adopted amendments to Rule 10b5-1 (the Rule), which prohibits the purchase or sale of securities on the basis of material nonpublic information (MNPI) in violation...more
1/5/2023
/ Amended Rules ,
Certification Requirements ,
Cooling-Off Rule ,
Disclosure Requirements ,
Insider Trading ,
Material Nonpublic Information ,
Rule 10(b) ,
Rule 10b-5 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Fraud ,
Trading Plans
Samuel Langhorne Clemens, d/b/a Mark Twain, was the author of many outstanding (and often humorous) books and short stories that had good guys (e.g., Huck, Jim and Tom), bad guys (e.g., Pap Finn; the Duke and the Dauphin, who...more
FINRA has recently taken steps to advance diversity and inclusion in the broker-dealer industry.
Regulatory Notice 21-17 -
On April 29, 2021, FINRA issued Regulatory Notice 21-17, seeking comments on supporting...more