In this issue:
- Delaware Supreme Court Upholds Fee-Shifting Bylaw
- FINRA Proposes Changes to FINRA Rules 7410 and 2121
- CFTC Staff Announces Streamlined No-Action Relief Process for Certain CPOs
- Fourth Circuit Declines to Extend Janus to Criminal Cases
- Excerpt from FINRA Proposes Changes to FINRA Rules 7410 and 2121:
The Financial Industry Regulatory Authority, Inc. is proposing to amend FINRA Rule 7410 to permit members which, under FINRA Rule 7410, are not considered to be “reporting members” (i.e., because, among other things, such members route order information to a single “reporting member”) to route any order information to two “reporting members” without being deemed to be a “reporting member.” Such permission is conditioned on a member routing orders to each of the two “reporting members” on a pre-determined schedule approved by FINRA for a time period not to exceed one year.
Please see full newsletter below for more information.
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Topics: CFTC, Commodity Pool, CPO, Criminal Prosecution, Fee-Shifting Statutes, FINRA, Fraud, White Collar Crimes
Published In: Civil Procedure Updates, General Business Updates, Criminal Law Updates, Finance & Banking Updates, Securities Updates
DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.
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