Proposal seeks to clarify and enhance obligations applicable to a broker-dealer’s retail customer interactions, but may raise more questions than answers.
The Securities and Exchange Commission (SEC) proposed for public...more
The safe harbor would offer relief from certain requirements of FINRA’s research rules, but significant compliance obligations and questions remain.
On April 12, 2017, the Financial Industry Regulatory Authority, Inc....more
While the new rules may provide a measure of relief to certain entities that engage in a limited subset of broker-dealer activities, significant compliance requirements continue to apply.
On August 18, 2016, the U.S....more
Broker-dealers with historical or ongoing instances of non-compliance with the SEC’s Customer Protection Rule are encouraged to self-report by November 1, 2016.
On June 23, 2016, the Securities and Exchange...more
6/29/2016
/ Broker-Dealer ,
Compliance ,
Cooperation ,
Customer Protection Rule ,
Financial Industry Regulatory Authority (FINRA) ,
Individual Accountability ,
OCIE ,
Section 15(c) ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Self-Reporting
The plan would create a single database to enable regulators to track all trading activity in the US equity and options markets.
On April 27, 2016, the Securities and Exchange Commission (SEC) published for public...more
The amendments require FINRA members to update their retail websites to include readily apparent references and hyperlinks to BrokerCheck.
On October 8, 2015, the Securities and Exchange Commission (SEC) approved a...more
The new rules retain many of the current rules’ core requirements, but expand certain obligations and impose requirements on debt research activities for the first time.
On August 26, 2015, the Financial Industry...more
8/28/2015
/ Conflicts of Interest ,
Debt Securities ,
Disclosure Requirements ,
Due Diligence ,
Equity Securities ,
Financial Analysts ,
Financial Industry Regulatory Authority (FINRA) ,
General Solicitation ,
Information Reports ,
NASD ,
New Regulations ,
Securities and Exchange Commission (SEC)
The amendments simplify and refine the scope of FINRA’s corporate financing and conflict of interest rules in several important respects.
The Securities and Exchange Commission (SEC) recently approved two proposals...more
FINRA proposes a new “lite” registration regime for private placements and M&A activity.
The Financial Industry Regulatory Authority’s (FINRA) recently issued Regulatory Notice regarding proposed rules (Proposed...more