As COVID-19 continues to disrupt routine operations, OCIE reminds broker-dealers and investment advisers of their ongoing obligations.
On August 12, 2020, the US Securities and Exchange Commission (SEC) Office of...more
The Annual Report provides transparency on FINRA’s recent examination findings and focus for the coming year.
On October 16, 2019, the Financial Industry Regulatory Authority (FINRA) published its annual Report on...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 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
An Updated Look at the World of Offers -
It all seems simple enough. The concept of “offer” is broad under the securities laws, so companies and underwriters need to be careful about any publicity in connection with a...more
3/7/2014
/ Compliance ,
Corporate Counsel ,
Corporate Governance ,
Dodd-Frank ,
Initial Public Offering (IPO) ,
JOBS Act ,
Offers ,
Press Releases ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Underwriting