News & Analysis as of September 19, 2024

Financial Industry Regulatory Authority (FINRA)

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Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on 10/14/2016

Financial Industry Developments - The CFPB Publishes Final Rule for Prepaid Accounts - On October 5, 2016, the Consumer Financial Protection Bureau (the "CFPB") finalized comprehensive consumer protections for...more

SEC Approves FINRA & MSRB (Almost) Pay-to-Play Rules

Burr & Forman on 9/8/2016

The SEC announced August 25 that it approved FINRA’s pay-to-play rules governing placement-agent or solicitor broker-dealers and was “prepared” to approve the extension of MSRB Rule G-37 to municipal advisors as well....more

Still Threatened: Arbitration Clauses in Securities Customer Agreements

Carlton Fields on 6/19/2015

In a report to Congress released in March, the Consumer Financial Protection Bureau (CFPB) takes aim at consumer agreements that require disputes to be resolved by arbitration. The CFPB generally does not have...more

Nebraska District Court: Employee’s Disclosures To FINRA Make Her A Dodd-Frank Whistleblower

Proskauer - Whistleblower Defense on 6/3/2014

In a first-impression decision, the U.S. District Court for the District of Nebraska recently ruled that an employee who disclosed information about potential securities law violations to FINRA may qualify as a...more

FINRA Clarifies Reporting Requirements for Tier 1 Capital Securities

Morrison & Foerster LLP on 5/28/2014

Three Types of Hybrid Securities Subject to Classification and Reporting Changes - For some time now, there has been confusion regarding the appropriate trade reporting for certain hybrid securities. Hybrid securities,...more

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