Mary Dunbar

Mary Dunbar

Morgan Lewis

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FINRA Issues Guidance on Materiality Consultations

The Overview addresses, among other things, categories of information and other factors that firms should consider when assessing materiality of prospective business initiatives....more

2/25/2015 - Broker-Dealer Brokers FINRA NASD Rule 1017 Process

Select Broker-Dealer Enforcement Cases and Developments: 2014 Year in Review

This Outline highlights key U.S. Securities and Exchange Commission (the “SEC” or the “Commission”) and Financial Industry Regulatory Authority (“FINRA”) enforcement developments and cases regarding broker dealers.* The...more

2/20/2015 - Broker-Dealer Enforcement Enforcement Actions Municipal Securities Issuers SEC Whistleblowers

Select Broker-Dealer, Investment Adviser, and Investment Company Enforcement Cases and Developments: 2013 Year in Review

Table of Contents: Executive Summary; U.S. Securities and Exchange Commission; and Financial Industry Regulatory Authority. Executive Summary - This Outline highlights key U.S. Securities and Exchange...more

2/19/2014 - Broker-Dealer Enforcement Actions FINRA Investment Adviser SEC

Select SEC and FINRA Cases and Developments: 2012 Year in Review

In 2012, the SEC and FINRA continued their vigorous enforcement of the securities laws, rules, and regulations—with cases against broker-dealers, investment advisers, and investment companies accounting for 38% of the SEC...more

2/7/2013 - Broker-Dealer Enforcement Actions FINRA Investment Adviser SEC

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