Serving the Diverse Needs of Children through Education Law: On Record PR
Gene Grabowski on Trade Associations
In January 2024, FINRA provided an update on its targeted examination of firms’ crypto asset communications. FINRA launched this targeted examination series in November 2022 to “review the practices of certain member firms...more
On January 9, 2024, the Financial Industry Regulatory Authority published its 2024 FINRA Annual Regulatory Oversight Report. Previously titled Report on FINRA’s Examination and Risk Monitoring Program, the Report is released...more
Managing Director Amy Stutzman and Director Reid Brooks discuss what it takes for energy companies to craft an effective ESG message and strategy that resonates with investors, stakeholders, and the public....more
I have always found it enlightening – and a bit scary – to talk to my clients about FINRA Rule 2210, the advertising (or “communications with the public”) rule, to see what they know about it. It’s a long, dense rule, so I’m...more
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
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