Jeff Kern

Jeff Kern

Sheppard Mullin Richter & Hampton LLP

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FINRA Issues Guidance Notice on Confidentiality Provisions in Settlement Agreements and the Arbitration Discovery Process

In Regulatory Notice 14-40, FINRA reminds members that it is a violation of FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade) to incorporate into a settlement agreement a confidentiality provision...more

11/17/2014  /  Confidential Information , Financial Industry Regulatory Authority (FINRA) , Non-Judicial Settlement Agreements , Securities and Exchange Commission (SEC) , Whistleblowers
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