Matthew White

Matthew White

Baker Donelson

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Increased SEC and FINRA Scrutiny on Confidentiality Provisions

Over the past several months, confidentiality provisions included in settlement agreements, employment or independent contractor contracts, or in other documents, have come under increased scrutiny in the financial industry....more

7/10/2015 - Broker-Dealer Confidentiality Agreements Dodd-Frank DOJ Financial Institutions Financial Markets FINRA Independent Contractors KBR (formerly Kellogg Brown & Root) SEC Settlement Agreements Whistleblowers

SEC Issues Guidance on its 2014 Examination Priorities

Each year, the SEC Office of Compliance Inspections and Examination's National Exam Program (NEP) issues a letter communicating to investors and registrants the areas that the staff perceives to present heightened risks. This...more

2/19/2014 - Compliance Enforcement Actions Fraud NEP SEC

FINRA Issues 2014 Regulatory and Examination Priorities Letter

On January 2, 2014, the Financial Industry Regulatory Authority (FINRA) issued its 2014 Annual Regulatory and Examination Priorities Letter (Priorities Letter). This letter is issued annually to highlight new and existing...more

2/11/2014 - Enforcement Actions FINRA Fraud Investigations

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