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National Survey On Marijuana Laws And Regulations (Update)

Legalized cannabis for medical or recreational purposes is a rapidly expanding industry in the United States, with various states, including California, Colorado, Delaware, Illinois, Maryland, Nevada, New Jersey, New York,...more

National Survey On Marijuana Laws And Regulations (Update)

Legalized cannabis – for medical or recreational purposes – is a rapidly expanding industry in the United States, with various states, including California, Colorado, Delaware, Illinois, Maryland, Nevada, New Jersey, New...more

National Survey On Marijuana Laws And Regulations (Update)

Legalized cannabis – for medical or recreational purposes – is a rapidly expanding industry in the United States, with various states, including California, Colorado, Delaware, Illinois, Maryland, Nevada, New Jersey, New...more

National Survey On Marijuana Laws And Regulations (Updated)

Legalized cannabis – for medical or recreational purposes – is a rapidly expanding industry in the United States, with various states, including California, Colorado, Delaware, Illinois, Maryland, Nevada, New Jersey, New...more

National Survey On Restrictive Covenants In Employment

This survey has been provided by the Fox Rothschild Labor and Employment and Securities Industry practice groups as a quick reference for in-house counsel and human resource professionals. The law in this area not only...more

FINRA Notice To Members; Enhanced Confirmation Disclosures

FINRA has recently issued a notice to members regarding to the enhancement of confirmation disclosures. ...more

7/13/2017  /  Disclosure , FINRA

The Tale Of The Recidivist Broker

The CEO of FINRA recently announced that FINRA plans to provide firms with additional resources to deal with recidivist brokers. So what does this mean? For years, FINRA’s exam priorities have focused on, among other...more

6/29/2017  /  Broker-Dealer , FINRA , Recidivism

So Who Really Is A ‘Debt Collector’ Under The FDCPA?

When the Fair Debt Collection Practices Act became law in 1977, it promised to regulate the conduct of anyone who “regularly collects or attempts to collect … debts owed or due … another.” But the courts have divided over...more

U.S. Supreme Court Imposes Limits On SEC’s Favorite Enforcement Tool

In a ruling that severely hampers one of the SEC’s most powerful enforcement tools, the U.S. Supreme Court held on June 5 that the disgorgement authority of the U.S. Securities and Exchange Commission is subject to a...more

What Are You Doing About Outside Business Disclosures

FINRA is currently reviewing its rules regarding outside business activities and private securities transactions. From time to time, FINRA reviews its rules and application of those rules to see if anything needs to be...more

National Survey on Restrictive Covenants

This survey has been provided by the Fox Rothschild Labor and Employment and Securities Industry practice groups as a quick reference for in-house counsel and human resource professionals. The law in this area not only...more

So You Want To Change Firms

One certainty in the brokerage world is that registered representatives often switch from one member firm to another. There is nothing wrong with the switch, but there is a word of caution to be shared....more

5/4/2017  /  Broker-Dealer , Brokers , FINRA

You Better Watch Your Suitability Determinations

The SEC recently announced that it charged a former broker with knowingly or recklessly trading unsuitable investment products for five customers and taking $170,000 for one of those customers. These charges follow a prior...more

4/26/2017  /  Brokers , Investors , SEC

Who Does What: Broker Dealers | Registered Investment Advisers | Commodities/Futures Entities

At Fox Rothschild LLP, we have a wealth of experience in creating and forming broker-dealers, registered investment advisers, commodity entities and various hedge funds. Over the years, our strategy has been to work with our...more

National Survey on Marijuana Laws and Regulations

Legalized cannabis – for medical or recreational purposes – is a rapidly expanding industry in the United States, with various states, including California, Colorado, Delaware, Illinois, Maryland, Nevada, New Jersey, New...more

Does This Give Rise To A Happy 420

Over the years, federal spending for the prosecution of medical marijuana businesses has been curtailed by the Rohrabacher-Farr Amendment to the spending bills. Now that Farr is retired, the question remained whether there...more

When Independent Commentary Isn’t

The SEC has recently issued an Investor Alert regarding commentary provided about investors from what appear to be independent sources. It turns out, many of those independent sources are not independent at all. Instead, they...more

4/18/2017  /  Enforcement Actions , Investors , SEC

FINRA Is Sanctioning What

In Notice to Members 17-13, FINRA announced changes to its sanction guidelines. In other words, FINRA has listed its new top hits that it is pursuing. Two items bear particular attention....more

4/13/2017  /  Broker-Dealer , FINRA , Senior Investors

National Survey on Marijuana Laws and Regulations

This survey has been provided by the Fox Rothschild Cannabis Practice as a quick reference to relevant laws and statutes governing marijuana usage in the United States. Legalized cannabis – for medical or...more

Another Federal Legislative Push To Protect Legal Cannabis

In a series of bi-partisan bills, two Senators from Oregon proposed massive reform to aid legal cannabis operations throughout the country. The Path to Marijuana Reform includes a series of bills known as: 1. The Small...more

Pastor Fraud, Say It Isn’t So

The SEC recently announced fraud charges, and sought an emergency asset freeze against a pastor who was accused of exploiting church members, retirees, and laid-off autoworkers. Apparently, he mislead these people by...more

4/3/2017  /  Asset Freeze , Fraud , Investors , SEC

So I Guess It Is All About The Seniors

Contrary to what the title may suggest, I am not referring to students who are about to graduate from high school or college. Instead, this post is about that group of our society who all too often (based upon my years of...more

3/23/2017  /  Broker-Dealer , FINRA , Senior Investors

So You Want To Invest In A Cannabis Business...

Many people see the green of cannabis as a way to the pot of gold at the end of the rainbow. If you are going to invest in a legal (at a state level) cannabis business, you need to make sure that you know what you purchase....more

What Should You Take Away From The SEC’s Investor Bulletin

The SEC recently published its latest investor bulletin. The SEC publishes these from time to time to bring awareness to the investing public on certain issues....more

3/9/2017  /  Investors , SEC

FINRA, A/K/A the Fine Machine

According to a recent report of the Eversheds Sutherland firm, 2016 was a banner year for FINRA-assessed fines. FINRA collected a record $176 million in 2016. So what gives? The increase in fines was attributable to two...more

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