In This Issue:
FINRA’s 2013 Communication Rules and Revisions to MSDAs; Regulation R and Bank Sales of Structured Products; FCA Temporary Product; and Intervention Rules: Nipping It in the Bud.
On April 2, 2013, the Securities and Exchange Commission issued a Report of Investigation that directly addresses the application of Regulation FD to disclosures made through social media channels such as Facebook and...more
Tonight is the finals of the NCAA Men’s Basketball Tournament, known as March Madness. As I went to law school at the University of Michigan, I will be pulling for the Wolverines to win the big game. If you are not a...more
In this issue:
- FINRA Provides Guidance on Rules Governing Communications with the Public
- FINRA Requests Comment on Proposed Rule Requiring Disclosure of Conflicts of Interest in Recruitment Incentives
The Securities and Exchange Commission approved a rule change by the Financial Industry Regulatory Authority pursuant to which National Association of Securities Dealers (NASD) Rules 2210 and 2211 and NASD Interpretive...more
On December 12, 2012, New York Attorney General Eric Schneiderman announced new proposed disclosure rules for New York-registered nonprofits designed to bring more transparency to electioneering activities by tax-exempt,...more
On December 11, 2012, the New York Attorney General’s Office proposed rules that would require nonprofit organizations doing business in New York to disclose their spending on a wide range of activities, including those...more
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