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Richard Levin

Richard Levin

BakerHostetler


Latest Publications

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SEC Releases National Examination Program Priorities for 2013

On February 21, 2013, the National Examination Program (NEP), which is administered by the Securities and Exchange Commission's (SEC) Office of Compliance Inspections and Examinations (OCIE), published its examination...more

4/2/2013 - Broker-Dealer Clearing Agents Investment Adviser NEP SEC Transfer Agents

JOBS Act Update

The Securities and Exchange Commission’s (SEC) Division of Trading and Markets and the Financial Industry Regulatory Authority (FINRA) recently published items of particular interest to firms following the progress of the...more

3/11/2013 - Broker-Dealer Crowdfunding FINRA General Solicitation JOBS Act SEC

FINRA Offers Regulatory Road Map for 2013

On January 11, 2013, the Financial Industry Regulatory Authority (FINRA) issued its annual Regulatory and Examination Priorities Letter (Priorities Letter) to member firms, which highlights its primary areas of focus for the...more

2/7/2013 - Algorithmic Trading Cybersecurity FINRA High Frequency Trading Insider Trading Private Placements SEC Securities SIFMA

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