Massiel Pedreira

Massiel Pedreira

Proskauer Rose LLP

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SEC Approval of New FINRA Public Arbitrator Rule Imposes New Limits on the Pool of Potential Public Arbitrators

The SEC recently approved FINRA’s proposed new rule changes to the definitions of public arbitrator (FINRA Rules 12100(u) and 13100(u)) and non-public arbitrator (FINRA Rules 12100(p) and 13100(p)), after receiving over 300...more

3/16/2015 - Arbitration Financial Institutions FINRA Public Arbitrators SEC

SEC Examination Priorities in 2015 to Focus on Transparency Issues and the Early Detection of Potential Fraudulent or Other...

On January 13, 2015, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) announced its 2015 examination priorities for investment advisers, broker-dealers and transfer agents. These priorities emphasize the...more

1/19/2015 - Broker-Dealer Fraud Investment Adviser OCIE Qualified Retirement Plans SEC SEC Examination Priorities Securities Fraud Transfer Agents Transparency

FINRA’s New Background Investigation Rule Will Likely Increase Firms’ Costs and Potentially Increases Exposure for Firms in...

Recently, the SEC approved FINRA’s proposed new Rule 3110(e) relating to background investigations of registered persons. FINRA Rule 3110(e), which replaces NASD Rule 3010(e) and goes into effect on July 1, 2015, streamlines...more

1/16/2015 - Background Checks Broker-Dealer FINRA Investment Adviser NASD New Regulations Registered Representatives Registration SEC

SEC Focus on Disclosure Issues for Municipal Securities, Private Equity and ETFs

At the recent Columbia Law School Conference, “Hot Topics: Leading Current Issues in Securities Regulation and Enforcement,” SEC Commissioner Kara M. Stein’s keynote address focused on a number of transparency and disclosure...more

12/3/2014 - Corporate Governance Disclosure Requirements ETFs Municipal Securities Issuers Private Equity SEC Transparency

Justices Scalia and Thomas Amenable to Reexamining Deference to SEC Statutory Interpretations

Like Prince Charming searching for the foot that fit the glass slipper, Justice Scalia recently issued a statement advising that he and Justice Thomas would be receptive to granting certiorari to a petition properly...more

12/1/2014 - Agency Deference Certiorari Convictions Corporate Crimes Justice Scalia Justice Thomas SCOTUS SEC

SEC Inadvertently Produces Whistleblower Complaint, But Then Obtains Protective Relief

During discovery in an SEC administrative and cease-and-desist proceeding instituted in December 2012 (pursuant to Sections 9(b) and 9(f) of the Investment Company Act of 1940)[1] the SEC Division of Enforcement (DOE)...more

3/11/2013 - Attorney-Client Privilege Discovery SEC Whistleblowers

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