Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This month,...more
11/22/2024
/ Compliance ,
Cryptocurrency ,
Cybersecurity ,
Data Privacy ,
Data Security ,
Digital Assets ,
Due Diligence ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
Metaverse ,
Real Estate Investments ,
Regulatory Requirements ,
Risk Assessment ,
Third-Party Service Provider
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This month,...more
4/29/2024
/ Arbitration ,
Conflicts of Interest ,
Dispute Resolution ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Influencers ,
Ponzi Scheme ,
Private Equity Funds ,
Regulation BI ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Social Media ,
Wire Fraud
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This month,...more
Since the first Johnson & Johnson talc bankruptcy was filed in 2021, Judge Michael Kaplan has faced countless disagreements in the US Bankruptcy Court. These range from discovery fights, disputes over administration of tens...more
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. We dedicate...more
1/26/2024
/ Anti-Money Laundering ,
Bank Secrecy Act ,
Books & Records ,
Broker-Dealer ,
Compliance ,
Conflicts of Interest ,
Consolidated Audit Trail ,
Cryptoassets ,
Cybersecurity ,
Digital Assets ,
Financial Industry Regulatory Authority (FINRA) ,
Over The Counter Drugs (OTC) ,
Regulation BI ,
Securities and Exchange Commission (SEC)
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This month,...more
12/7/2023
/ Arbitration ,
Dispute Resolution ,
Enforcement ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
Institutional Investors ,
Investment ,
Proposed Regulation ,
Regulation Best Interest ,
Regulation BI ,
Regulatory Agenda ,
Regulatory Requirements ,
Regulatory Violations ,
Securities and Exchange Commission (SEC)
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This month,...more
11/1/2023
/ Arbitration ,
Broker-Dealer ,
Constitutional Challenges ,
Dispute Resolution ,
Enforcement Actions ,
Expungement ,
Financial Industry Regulatory Authority (FINRA) ,
Fraud ,
Proposed Rules ,
Securities and Exchange Commission (SEC) ,
WhatsApp
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This month,...more
9/29/2023
/ Amicus Briefs ,
Arbitration ,
Artificial Intelligence ,
Compliance ,
Dispute Resolution ,
Enforcement Actions ,
Expungement ,
Financial Industry Regulatory Authority (FINRA) ,
Proprietary Trading ,
Regulation BI ,
Securities and Exchange Commission (SEC)
A three-judge panel for the US Court of Appeals for the Second Circuit reversed a district court’s class certification in the decade-long Arkansas Teacher Retirement System v. Goldman Sachs Group litigation regarding...more
8/18/2023
/ Appeals ,
Arkansas Teacher Retirement System v Goldman Sachs Group ,
Class Action ,
Class Certification ,
Corporate Governance ,
Environmental Social & Governance (ESG) ,
Ethics ,
Investors ,
Policies and Procedures ,
SCOTUS ,
Securities ,
Securities and Exchange Commission (SEC)
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This month,...more
7/28/2023
/ Administrative Law Judge (ALJ) ,
Appeals ,
Broker-Dealer ,
Dispute Resolution ,
Emoji ,
Enforcement ,
Financial Industry Regulatory Authority (FINRA) ,
Investment ,
Lucia v SEC ,
New Regulations ,
Regulation BI ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This...more
5/18/2023
/ Anti-Money Laundering ,
Cryptoassets ,
Digital Assets ,
Enforcement ,
Expungement ,
Financial Industry Regulatory Authority (FINRA) ,
Investment ,
Investment Advisers Act of 1940 ,
Securities and Exchange Commission (SEC) ,
SIFMA ,
Social Media
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This...more
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This...more
11/1/2022
/ Anti-Money Laundering ,
Arbitration ,
Borrowers ,
Broker-Dealer ,
Dispute Resolution ,
Disqualification ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Registered Investment Advisors ,
Regulation Best Interest ,
REIT ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Unregistered Securities
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This...more
10/3/2022
/ Analytics ,
Anti-Money Laundering ,
Arbitration ,
Authentication ,
Broker-Dealer ,
Churning ,
Cybersecurity ,
Digital Signature Standards ,
Expungement ,
Failure to Report ,
Financial Industry Regulatory Authority (FINRA) ,
Foreign Financial Institutions (FFI) ,
Fraud ,
Investigations ,
Ponzi Scheme ,
Popular ,
Proposed Rules ,
Securities Transactions ,
Transfers
Two Years Later, Regulation BI Remains a “Tremendous Priority” for FINRA -
June 30th marked two years since the implementation of Regulation Best Interest (“Reg BI”) and the client relationship summary or Form CRS. Firm...more
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. FINRA’s...more
Understand What’s Happening in the Financial Industry Regulatory World With Commentary and Updates From Bracewell’s Experienced FINRA Team -
We are pleased to introduce the inaugural issue of Bracewell’s FINRA Facts and...more
Back in June, we analyzed the Supreme Court’s decision in Goldman Sachs Group v. Arkansas Teacher Retirement System, which examined the extent to which a corporation’s arguably generic public statements could form the basis...more
In a recent interview with CNBC, FINRA Chair Eileen Murray forcefully made the case for increased government regulation of environmental, social and governance (ESG) disclosures by public companies. Citing concerns with the...more
With the Securities and Exchange Commission resolute in its efforts to establish new disclosure requirements related to environmental, social and governance (ESG) risks, companies appear increasingly resigned to some measure...more
In April, we analyzed whether a corporation’s purely generic public statements on environmental, social and governance (“ESG”) issues could form the basis of a subsequent securities fraud action. At the time, we identified a...more
6/29/2021
/ Arkansas Teacher Retirement System v Goldman Sachs Group ,
Basic v Levinson ,
Burden of Persuasion ,
Burden of Proof ,
Certiorari ,
Class Action ,
Class Certification ,
Conflicts of Interest ,
Goldman Sachs ,
Investors ,
Presumption of Reliance ,
SCOTUS ,
Securities Exchange Act ,
Securities Litigation ,
Shareholders
These days, it is commonplace for companies to commit to general concepts like “sustainability” or a “diverse workforce” in public statements and SEC disclosures. But when stock prices drop as a result of specific...more
On Wednesday, March 10, 2021, the Department of Labor announced that, pending further guidance, it will not enforce two recent regulations that many viewed as deterring retirement fund managers from socially conscious...more
A series of recent announcements by the SEC underscores the agency’s commitment—and allocation of resources—to its heightened focus on environmental, social and governance (“ESG”) issues. Significantly, on March 4, 2021, the...more
On January 7, 2021, President-elect Joe Biden named Boston Mayor Martin Walsh as his nominee for Secretary of Labor. Walsh’s nomination raises questions for the future of the Labor Department’s (“DOL’s”) “fiduciary rule,”...more
1/20/2021
/ Administrative Procedure Act ,
Biden Administration ,
Congressional Review Act ,
Department of Labor (DOL) ,
Employee Retirement Income Security Act (ERISA) ,
Fiduciary Duty ,
Fiduciary Rule ,
Five-Part Test ,
Investment Adviser ,
IRA Rollovers ,
Retirement Plan