From Paper to Digital: The California DMV's Leap Into Blockchain Technology — The Crypto Exchange Podcast
Nonprofit Quick Tip: State Filings in Washington and Oregon
Nonprofit Quick Tip: Nevada and Arizona Nonprofit Corporation Registration and Annual Filings
Navigating the Dual Track M&A/IPO– Part One
Trademark Series: Use-based trademark protection
Trademark Series: Building a global brand
The Ska / DuClaw Trademark Dispute Over EUPHORIA, Trademark Lessons for the Craft Brewer
Early this month the U.S. Securities and Exchange Commission (“SEC”) released final rules (the “Registration Rules”) for the registration of security-based swap dealers (“SBSDs”). The Registration Rules, released more than...more
The Financial Industry Regulatory Authority (“FINRA”) is the largest independent, not-for-profit regulator of securities firms conducting business in the United States. FINRA is authorized by the United States Congress to...more
Recently, the SEC approved FINRA’s proposed new Rule 3110(e) relating to background investigations of registered persons. FINRA Rule 3110(e), which replaces NASD Rule 3010(e) and goes into effect on July 1, 2015, streamlines...more
In recent years, questions have been raised in many quarters about how brokers with questionable backgrounds have been able to move among firms and remain in the industry. FINRA has responded by enhancing a broker-dealer’s...more
The Securities and Exchange Commission (SEC) has approved a Financial Industry Regulatory Authority (FINRA) rule requiring member firms to strengthen their background investigation of applicants seeking registration. ...more