Stephen M. Quinlivan

Stephen M. Quinlivan

Stinson Leonard Street

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SEC Makes Municipal Advisor Compliance Transcript Available

On November 3, 2014, the SEC, MSRB and FINRA held a compliance outreach program for municipal advisors. The SEC has made an unofficial transcript of the event...more

12/10/2014 - FINRA MSRB Municipal Advisers SEC

FINRA Reminds Anti-Whistleblower Provisions Are Not Permitted in Settlement Agreements

FINRA has published a regulatory notice where it reminds firms that it is a violation of FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade) to include confidentiality provisions in settlement agreements...more

10/16/2014 - Arbitration Dodd-Frank FINRA Non-Judicial Settlement Agreements Settlement Whistleblower Protection Policies Whistleblowers

FINRA and Exchanges Submit Tick Size Pilot Plan

FINRA and the exchanges have complied with an SEC order to establish a national market system plan to implement a targeted 12-month pilot program that will widen minimum quoting and trading increments (tick sizes) for certain...more

8/27/2014 - FINRA SEC Stocks

SEC Orders Exchanges and FINRA to Submit Tick Size Pilot Program

The SEC has ordered registered securities exchanges and FINRA to submit a tick size pilot program within 60 days. The order specifies that the control group will be quoted at the current tick size increment, $0.01 per share,...more

6/25/2014 - FINRA SEC Securities

SEC Eases FINRA Corporate Financing Rule

The SEC has approved changes to FINRA Rule 5110, which among other things - - narrow the scope of the definition of “participation or participating in a public offering;”...more

4/30/2014 - Compliance Corporate Financing Rule FINRA Public Offerings SEC

FINRA Proposes Rules For Crowdfunding Portals

FINRA has proposed rules and related forms for crowdfunding portals. The proposal, which reflects the rules recently proposed by the SEC, would implement in FINRA’s rules the provisions of the JOBS Act. ...more

10/28/2013 - Crowdfunding FINRA JOBS Act SEC

Crowdfunding And JOBS Act News Roundup – May 31, 2013

President Obama has nominated a pair of Senate aids to be SEC Commissioners. Dr. Michael Piwowar is the Chief Economist for the U.S. Senate Committee on Banking, Housing, and Urban Affairs, a position he has held since 2009. ...more

6/3/2013 - Barack Obama Crowdfunding FINRA Fraud FSOC JOBS Act Nominations SEC

SEC Exempts Another Crowd Funding Site From Broker-Dealer Rules

The SEC has granted AngelList relief on accepting transaction based compensation for crowd funding, exempting it from the broker-dealer rules. A couple days ago, the SEC granted relief to thefundersclub.com. Makes you kind...more

4/1/2013 - Broker-Dealer Crowdfunding Dodd-Frank FINRA General Solicitation Investment Adviser SEC

FINRA To Require BrokerCheck Link On Internet Advertising

Financial Industry Regulatory Authority, Inc., or FINRA, has filed a proposed rule change with the SEC to amend FINRA Rule 2267 (Investor Education and Protection) to require that FINRA members include a prominent...more

1/8/2013 - Advertising BrokerCheck Brokers Dodd-Frank FINRA Internet SEC Social Media

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