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SEC Approves Rule Preventing Barters for Expungement Cooperation – What You Can Do to Ensure Compliance

On July 22, the U.S. Securities and Exchange Commission (SEC) approved the Financial Industry Regulatory Authority’s (FINRA) proposed Rule 2081, which prevents firms or associated persons from conditioning settlement or...more

7/28/2014 - Consideration Expungement FINRA Proposed Regulation SEC Settlement

Cybersecurity Issues in the Financial Services Industry: Fasten your cyber belts, it's going to be a bumpy night

Few topics are as hot as cybersecurity. Recent high-profile data breaches at national retailers have made cybersecurity a frequent topic on Capitol Hill and an issue of growing concern to average Americans. Not surprisingly,...more

4/23/2014 - Broker-Dealer Cybersecurity Data Breach Data Security Act Enforcement Actions FINRA Governance Standards Investment Adviser Regulation S-P SEC U.S. Treasury

Stepping Into the Ring Against the SEC and FINRA: Sometimes It Pays to Duke It Out Against the Regulators

Originally published in Thomson Reuters - Securities Regulation Law Journal - Winter 2012. Faced with the possibility of litigating against the Securities and Exchange Commission (SEC) or the Financial Industry...more

12/20/2012 - ALJ Appeals Broker-Dealer Compliance FINRA FINRA Hearing Panel Sanctions SEC

FINRA Reverses Course and Issues Guidance Changing Its Interpretation Regarding the Key Issues of "Potential Investors" and...

Background - FINRA’s new suitability requirement, Rule 2011, went into effect July 9, 2012. Because the rule was such a departure from prior standards, FINRA issued Regulatory Notice 12-25 (May 2012) to explain the rule...more

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

Welcome to the Party? FINRA Invites Investment Advisers to Utilize its Arbitration Procedures

Originally published in the Investment Adviser Association Newsletter on December 3, 2012. The Financial Industry Regulatory Authority (FINRA) recently issued guidance (Guidance) stating that it will now accept requests...more

12/8/2012 - Arbitration FINRA Investment Adviser SEC

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