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
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)
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