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Confidentiality Agreements › Financial Industry Regulatory Authority (FINRA)

Proskauer - The Capital Commitment

Words Matter: Three Key Steps to Mitigate SEC Enforcement Risks Relating to Whistleblower Carveout Language

Proskauer - The Capital Commitment on

Since 2015, the SEC has brought nearly two dozen enforcement actions for violations of the whistleblower protection rules under Rule 21F-17(a) against employers for actions taken to impede reporting to the SEC. The bulk of...more

Goodwin

Financial Services Weekly News - August 2016 #3

Goodwin on

Editor's Note - MetLife Fights On. MetLife continued to fight its designation as a nonbank systemically important financial institution (SIFI) this week as the insurer filed its reply brief in the Financial Stability...more

Foley Hoag LLP

Important Dates and Reminders for Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors and Commodity Pool...

Foley Hoag LLP on

Investment Advisers - Annual Compliance Reviews: All investment advisers registered with the Securities and Exchange Commission (“SEC”) or The Commonwealth of Massachusetts are required to review their...more

Baker Donelson

Increased SEC and FINRA Scrutiny on Confidentiality Provisions

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Over the past several months, confidentiality provisions included in settlement agreements, employment or independent contractor contracts, or in other documents, have come under increased scrutiny in the financial industry....more

Foley & Lardner LLP

A Review of Recent Whistleblower Developments

Foley & Lardner LLP on

SEC Awards Another Whistleblowing Compliance Officer - On April 22, 2015, the Securities and Exchange Commission (SEC) announced an award between $1.4 and $1.6 million to a compliance officer who provided information...more

Epstein Becker & Green

Five Key Issues Confronting Financial Services Industry Employers

Epstein Becker & Green on

Employers in the financial services industry are faced with a growing number of employment law challenges. Whistleblower complaints are on the rise as regulatory agencies become more aggressive in their efforts to encourage...more

Manatt, Phelps & Phillips, LLP

FINRA: Firms Should Not Restrict Whistleblower Rights

Manatt, Phelps & Phillips, LLP on

Why it matters - In a new regulatory notice, the Financial Industry Regulatory Authority (FINRA) reminded regulated firms not to prohibit the exercise of whistleblower rights in settlement agreements with employees and...more

Proskauer - Whistleblower Defense

FINRA Again Cautions Against Confidentiality Provisions Silencing Whistleblowers

Proskauer - Whistleblower Defense on

As reported this week by Law360 (subscription required), the Financial Industry Regulatory Authority (FINRA) recently issued a reminder (Regulatory Notice 14-40) warning firms against the use of confidentiality provisions in...more

Eversheds Sutherland (US) LLP

FINRA Provides New Carve-Out Provisions to Include in Settlement and Confidentiality Agreements

Eversheds Sutherland (US) LLP on

Financial Industry Regulatory Authority (FINRA) Member Firms have new language to include in their settlement and confidentiality agreements. On October 9, FINRA released Regulatory Notice (RN) 14-40, warning that firms are...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - Volume IX, Issue 34

Katten Muchin Rosenman LLP on

In this issue: - Oregon State Court Refuses to Enforce Forum Selection Bylaw - SEC Announces Pilot Program to Widen Tick Sizes for Smaller Companies - NFA Issues Notice Setting Effective Date for Risk...more

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