Securities Professional Practice Administrative Agency

Read need-to-know updates, commentary, and analysis on Securities issues written by leading professionals.
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Representing Others Before The SEC

Not too long ago, I wrote about the Shareholder Rights Project (SRP) at Harvard Law School, noting that the SRP’s website and correspondence to the Securities and Exchange Commission explicitly stated that the SRP was...more

Caso Lídia Teixeira x União (Senado)

Justiça derruba limite de gastos do Senado com assistência à saúde de viúva de ex-Senador

"No caso dos autos, como referido linhas retro, a Requerente é pessoa idosa, necessitada de constante acompanhamento médico-hospitalar e ambulatorial, em clínicas de tratamentos multidisciplinares e que, em vista de constar...more

FINRA – Overseer of the USA Securities Industry – A Fantastic Free Online Resource for “Joe/Sue Investor”

The Financial Industry Regulatory Authority (FINRA) is defined as a private corporation that acts as a self-regulatory organization (SRO). FINRA is the successor to the National Association of Securities Dealers (NASD) and is...more

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