News & Analysis as of

Interpretive Letters Financial Industry Regulatory Authority (FINRA)

Jones Day

Fintech: OCC Issues Significant Ruling Permitting National Banks to Use INVN and Stablecoin Technology

Jones Day on

The Situation: On January 4, 2021, the Office of the Comptroller of the Currency ("OCC") issued an Interpretive Letter permitting national banks and federal savings associations ("Banks") to participate in independent node...more

UB Greensfelder LLP

Yes, You Can Form A Broker-Dealer Without Running Afoul Of FINRA’s Outside Business Activities Rule

UB Greensfelder LLP on

It is not a wise career move for a registered rep to leave his broker-dealer – thereby abandoning his customers, and affording competitors the opportunity to make his customers their own – and then to begin the long,...more

A&O Shearman

Family Offices Included as ‘Investment Advisers’ Under IPO Allocation Rule 5131(b)

A&O Shearman on

On May 9, 2017, the Financial Industry Regulatory Authority, Inc. (“FINRA”) issued an interpretive letter (the “Letter”) regarding its IPO allocation rule 5131(b) and its exception 5131.02(b) (the “IPO Allocation Rule”, or...more

K&L Gates LLP

FINRA Relaxes Restrictions on Related Performance in Institutional Communications

K&L Gates LLP on

On May 12, 2015, the Financial Industry Regulatory Authority (“FINRA”) issued an interpretive letter (the “Letter”) permitting the use of Related Performance Information (as defined below) in communications distributed solely...more

WilmerHale

FINRA Allows Use of Related Performance Information in Communications Regarding Mutual Funds with Financial Intermediaries and...

WilmerHale on

Overview and Background - On May 12, 2015, the staff of the Financial Industry Regulatory Authority (FINRA staff) issued an interpretive letter to Hartford Funds Distributors, LLC (Hartford Funds) that conditionally...more

5 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide