News & Analysis as of

Investment Banks Financial Industry Regulatory Authority (FINRA)

UB Greensfelder LLP

[Webinar] FINRA 2021: What to Expect - February 24th, 2:00 pm - 3:00 pm EST

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Join Ulmer partners Alan M. Wolper and Michael A. Gross as they address hot topics, including recent rule changes, exam priorities, and other FINRA developments....more

UB Greensfelder LLP

[Webinar] SEC Update: Reg BI, Enforcement Activity, and the Willfulness Standard - February 11th, 2:00 pm - 3:00 pm EST

UB Greensfelder LLP on

Join Heidi E. VonderHeide as she discusses how Regulation Best Interest is being implemented, examines post-effective date guidance and activity by the regulators, and shares what to expect during 2021 exams. Heidi will also...more

UB Greensfelder LLP

[Webinar] FINRA Expungement: Rule Changes and Updates - February 9th, 2:00 pm - 2:30 pm EST

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Join Christopher D. Seps as he discusses the rule changes that recently took effect related to FINRA’s expungement process, as well as proposed changes that will likely be approved and take effect in 2021. These changes...more

Mitchell, Williams, Selig, Gates & Woodyard,...

Securities Litigation Results in Win for Broker and Clarifies Law in the Eighth Circuit

Through an investment bank (acting as broker), clients invested in Reverse Convertible Notes (RCNs). RCNs are a complex “structured financial product” that is sometimes championed as a high-yield, short-term investment...more

Lowenstein Sandler LLP

FINRA: An Unnecessary, Unqualified Digital Asset Regulator

The Financial Industry Regulatory Authority’s new request for digital assets activities adds more confusion to the regulatory environment. The United States Financial Industry Regulatory Authority, or FINRA, has once again...more

Foley Hoag LLP - Public Companies & the Law

Signing up for a Spin Class?

Recent Amendments to FINRA Rules 5130 and 5131 - While many people extol the virtues of a good spin class (particularly in January, following New Year’s resolutions), in the context of Initial Public Offerings, “spinning”...more

White & Case LLP

Review of Anti-Money Laundering and Sanctions Policy and Enforcement

White & Case LLP on

TABLE OF CONTENTS: Executive Summary - Developments and Trends in Policy and Enforcement - US Department of the Treasury - The Office of Foreign Assets Control - Treasury's Financial Crimes Enforcement Network -...more

Morrison & Foerster LLP - JOBS Act

Updated MoFo FAQs on the Separation of Research and Investment Banking

New FINRA Rule 2241 covering equity research reports and analysts and new FINRA Rule 2242 covering debt research reports took effect less than a year ago in December 2015 and July 2016, respectively; and market practice with...more

Robins Kaplan LLP

Your Daily Dose of Financial News

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Soooooo . . . about that whole Brexit thing. A UK High Court has ruled that Britain’s EU withdrawal cannot move forward without the approval of Parliament, setting off more uncertainty and what’s expected to be a series of...more

Dechert LLP

FINRA “Capital Acquisition Broker” Rules are a Solution for Private Equity and Hedge Funds and Private Investment Banking/M&A

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The CAB Rules will enter into force on April 14, 2017. On January 3, 2017, FINRA will begin accepting applications for CAB registration from new applicants and existing FINRA members that wish to be re-designated as CABs, and...more

Broker-Dealer Compliance + Regulation

FINRA Releases Proposed Rule to Reduce the Regulatory Burdens on Boutique Investment Banks

FINRA has filed with the SEC a proposed rule which would reduce the regulatory burden for broker-dealers that limit their activities to M&A and certain corporate financing transactions. The proposed rule would create a new...more

Morgan Lewis

SEC Approves Rule to Regulate Debt Research Reports and Debt Research Analysts

Morgan Lewis on

Background - Eight years in the making, the US Securities and Exchange Commission (SEC) has finally approved the Financial Industry Regulatory Authority’s (FINRA's) proposed Rule 2242 (the Rule or Rule 2242), which will...more

Broker-Dealer Compliance + Regulation

FINRA Sets Effective Dates for Research Report Conflicts Rules

FINRA rules addressing conflicts of interest relating to the publication of equity research reports become effective on September 25, 2015, or December 24, 2015. Corresponding rules for debt research reports become effective...more

WilmerHale

A Bold New Regulatory Landscape for Research: SEC Approves FINRA Rules Addressing Conflicts of Interest for Equity and Debt...

WilmerHale on

More than ten years after the Global Research Settlement and the adoption of NASD Rule 2711, the Securities and Exchange Commission (SEC or Commission) has approve new FINRA rules addressing conflicts of interest for both...more

Morgan Lewis

FINRA Publishes Guidance on Research Conflict of Interest Rules

Morgan Lewis on

FINRA explains the risk levels associated with communications regarding potential investment banking transactions: from low to high to “unmanageable.” On May 27, the Financial Industry Regulatory Authority (FINRA)...more

Morrison & Foerster LLP

Will Principles-Based Guidance be Easier to Follow?

Practitioners and market participants often complain that rules and regulations ought to be principles-based rather than prescriptive. In advocating for principles-based regulation, the argument is often made that the...more

Morrison & Foerster LLP

FINRA Proposes Changes to the Equity Research Analyst and Equity Research Report Rule

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On November 18, 2014, the Financial Industry Regulatory Authority, Inc. (“FINRA”) filed a proposed rule change with the Securities and Exchange Commission (the “SEC”) to adopt NASD Rule 2711 as new FINRA Rule 2241 with...more

Proskauer Rose LLP

Broker-Dealer Beat - October 2014: Supervising Registered Employees of Foreign Affiliates

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Supervising Registered Employees of Foreign Affiliates - NASD Rules 1021(a) and 1031(a) permit a FINRA member to register or maintain the registration as principal or representative of an individual who is engaged in...more

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