Daniel LeGaye – The LeGaye Law Firm, PC

SEC Approves FINRA Rule 2242 (Debt Research Analysts & Reports)

The Securities and Exchange Commission (“SEC”), has approved the adoption of new FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) to address conflicts of interest relating to the publication and distribution of…more
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Impact of "Ban the Box" Legislation on FINRA Broker-Dealers

Oregon has joined California, Colorado, Connecticut, Delaware, Georgia, Hawaii, Illinois, Maryland, Massachusetts, Minnesota, Nebraska, New Jersey, New Mexico, Rhode Island, Vermont, Virginia and Washington, D.C. in the “Ban the…more
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SEC Launches Retirement Targeted Exam Initiative

The SEC Office of Compliance Inspections and Examinations (OCIE) recently issued a Risk Alert regarding the Targeted Industry Reviews and Examinations Initiative related to retirement accounts. The Risk Alert noted that 2015…more
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SEC Issues Guidance on Prompt Forwarding of Customer Funds with Subscription-Way Securities

In a major shift in policy with respect to the processing of customer checks by broker-dealers in subscription-way securities, the United States Securities and Exchange Commission (“SEC”) issued a No Action Letter on March 12,…more
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FINRA Enforcement Sanctions Increased

FINRA, through The National Adjudicatory Council (NAC), publishes the Sanction Guidelines. The Sanction Guidelines is used to assist FINRA's adjudicators in determining the appropriate sanctions in disciplinary proceedings. …more
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FACTA Update

The Foreign Account Tax Compliance Act (“FATCA”) has resulted in significant changes in the reporting and withholding requirements of financial institutions, including broker-dealers and investment advisers that represent…more
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FINRA FINRA Rule 8210 Reassessed for Obtaining Routine Information

Member of the professional staff of The LeGaye Law Firm, PC attended FINRA’s 2014 National Conference in Washington DC this week. While there are many issues discussed, one important point is related to the procedural changes…more
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FINRA Announces Proposed Rules for Limited Corporate Financing Brokers

In late February, the Financial Industry Regulatory Authority (“FINRA”) released Regulatory Release 14-09, and requested public comment on the proposed rules (the “LCFB Rule Set”) for a new category of broker-dealer called the…more
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M&A Brokers Exempted From SEC Broker-Dealer Registration

The Securities and Exchange Commission (“SEC”) has changed its long-held view that persons receiving transaction-based compensation in connection with facilitating the acquisition and or sale of a company must register with the…more
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Broker-Dealer & Investment Adviser Renewal Update for 2014

On November 11, 2013, FINRA posted the online Preliminary Renewal Statements on Web CRD and Web IARD, which commenced the 2014 renewal season for broker-dealers and investment advisers. The Renewal invoices are now on CRD and…more
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Minor Rule Violations are on the SEC Enforcement Agenda

Historically, the enforcement actions brought by the Securities and Exchange Commission (“SEC”) have focused more on fraud and misrepresentation, than on books and records violations or compliance professionals. Mary Jo White,…more
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New Regulatory Guidance Impact Business Continuity Planning for the Financial Industry

As a result of recent natural disasters, a number of the regulators that oversee the securities industry have jointly issued guidance regarding the business continuity or disaster recovery plans (BCPs) of broker-dealers and…more
| Administrative Law, Mergers & Acquisitions, Securities Law

Amendments to Financial Responsibility Rules for Broker-Dealers Impact Net Capital

On July 31, 2013, the Securities and Exchange Commission (SEC) announced amendments to Financial Responsibility Rules for Broker-Dealers (Release No. 34-70072; File No. S7-08-07). The rule amendments become effective October…more
| Administrative Law, Finance & Banking, Mergers & Acquisitions, Securities Law

FINRA Rules Governing Communication with the Public Undergo Reorganization

The FINRA rules governing communications with the public have undergone significant changes with the approval of FINRA Rule 2210 (“Rule”) by the Securities and Exchange Commission (“SEC”). The Rule was submitted to the SEC by…more
| Administrative Law, Finance & Banking, Securities Law

Update on FINRA Financial Rules

Annual Audited Financial Report Submission The Financial Industry Regulatory Authority (FINRA) announced in Regulatory Notice 11-46 that commencing November 8, 2011, member firms having a fiscal year end on or after September…more
| Finance & Banking, Mergers & Acquisitions, Securities Law
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Contact

2002 Timberloch, Suite 200
The Woodlands, TX 77380, United States

  • 281-367-2454
  • 866-338-6353

Areas of Practice
  • Business Organizations
  • Securities Law
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