Benjamin Coulter

Benjamin Coulter

Burr & Forman

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FINRA Moves Forward With Proposed Rule Requiring Disclosure Of Recruitment Bonuses

FINRA has submitted a proposal to the SEC to adopt FINRA Rule 2243 (Disclosure and Reporting Obligations Related to Recruitment Practices). In FINRA’s words, Rule 2243 would require, in some cases, “specific disclosure by...more

4/3/2014 - Bonuses Corporate Bonuses Disclosure Requirements FINRA

Banking & Financial Services E-Note - January 31, 2014

In This Issue: - DOJ Weighs Action Against Banks Over Payday Lending Business - More Regulatory Scrutiny Causing Banks to Pass on LBOs - Officials to Issue New Rules on Banks Holding Marijuana Funds - Fed...more

2/4/2014 - ATMs Banks CFPB Commodities Compliance DOJ Financial Regulatory Reform Mortgages Payday Loans Qualified Mortgage Rule

“Interim Final” Volcker Rule Approved

On December 10, 2013, the Board of Governors of the Federal Reserve System, Commodity Futures Trading Commission, Federal Deposit Insurance Corporation, Office of the Comptroller of the Currency, and Securities Exchange...more

1/27/2014 - American Bankers Association Banking Sector Collateralized Debt Obligations Dodd-Frank FDIC Final Rules Financial Regulatory Reform Hedge Funds Market Making Private Equity Proprietary Trading Trust Preferred Securities Underwriting Volcker Rule

Third Circuit Court Of Appeals Finds Plaintiff Failed To Meet PSLRA’s Scienter Pleading Requirement

Rahman v. Kid Brands, Inc., 2013 WL 6038246 - Shah Rahman, the plaintiff and appellant, brought a federal securities class action in March 2011 against defendant Kid Brands, Inc. and against individual defendants Bruce...more

1/2/2014 - Class Action Pleading Standards PSLRA Scienter Section 10(b) Securities Litigation

Corporate & Tax E-Note - June 27, 2013

In This Issue: - Secrecy Provision of JOBS Act Boosts IPO Pipeline - SEC Chair Says Companies Will Soon Have to Admit Wrongdoing - SBA Revises Standards Determining Small Business Sizes - Group Announces...more

7/2/2013 - Business Development Crowdfunding IPO JOBS Act Research and Experiment Tax Credit SBA SEC Small Business Startups

Banking & Financial Services E-Note - April 25, 2013

In This Issue: - Regulators Could Step in with Tougher Rules as Bank Profits Rise - Bill Would Force Study of Basel III Impact on Bank Capital Costs - Regulator Wants Enforcement Powers Against Bank...more

4/26/2013 - Barack Obama CFPB Compliance Cyber Attacks Cybersecurity Enforcement Extensions FDIC Federal Reserve Living Will Loans Mortgages Profits SEC Small Business

Burr Alert: Proposed FINRA Rules Governing Markups, Commissions And Fees

Through its recent Regulatory Notice 13-07, the Financial Industry Regulatory Authority ("FINRA") announced and sought comments on its proposed amendments to rules governing markups, markdowns, commissions and fees associated...more

4/10/2013 - Broker Commissions Brokers Fees FINRA Markups

Banking & Financial Services E-Note - March 28, 2013

In This Issue: - Global Banking Group Calls for Several Rates to Replace Libor - U.S. Applies Money-Laundering Rules to "Virtual Currencies" - SEC Says Big Banks Don't Have to Hold Shareholder Break-Up Votes -...more

4/3/2013 - CFPB Credit Unions International Accounting Standards Board Libor Loans Money Laundering SEC Shareholder Votes Small Business Student Loans TARP Virtual Currency

Corporate & Tax E-Note - March 28, 2013

In This Issue: - SEC Yet to Release Jumpstart Our Business Startups Act Guidelines - IRS Crackdown on Contract Workers Has Small Businesses Concerned - Accelerated Filers Found to be Filing More Restatements -...more

4/3/2013 - Audits Board of Directors CEOs Class Action Cyber Attacks Cybersecurity Divorce Family Businesses Filing Requirements IPO IRS JOBS Act SEC Small Business Tax-Exempt Bonds

Burr Alert: FINRA Amends Subpoena And Arbitrator Order Rules

In its recent Regulatory Notice 13-04, the Financial Industry Regulatory Authority ("FINRA") announced amendments to its Customer and Industry Codes of Arbitration Procedure related to subpoenas and arbitrator orders for the...more

3/27/2013 - Arbitration Discovery Document Productions FINRA Subpoenas

Burr Alert: FINRA Updates Guidance On Its Suitability Rule

In its Regulatory Notice 12-55, the Financial Industry Regulatory Authority ("FINRA") has updated its guidance on FINRA Rule 2111 concerning suitability. This is FINRA's fourth regulatory notice concerning the rule -- it...more

12/19/2012 - Broker-Dealer FINRA Investment Adviser Suitability Rule

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