Securities, Financial Industry Regulatory Authority (FINRA), Investors

Dual registrant regulatory roundup - July 2024

Eversheds Sutherland (US) LLP on 7/9/2024

Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more

FINRA Rule 5130 Evolves Further to Address Non-US Investors and Securities Offerings

Morgan Lewis on 8/2/2019

FINRA and its predecessor NASD have long worked to promote fairness in the allocation of new issues of equity securities by prohibiting allocations to broker-dealers and persons who, among other things, own or control,...more

FINRA to Assess Member Firms’ Culture

Carlton Fields on 7/19/2016

Speaking at the Brookings Institution this April, FINRA head Richard Ketchum emphasized the importance of a broker-dealer having a "culture" that favors the firm’s customers when their interests conflict with those of the...more

Structured Thoughts: News for the financial services community, Volume 7, Issue 7

Morrison & Foerster LLP - Structured Products on 7/7/2016

Financing Subsidiaries and SEC Registration - As readers of this publication know, in order to address the expected new U.S. regulatory capital requirements, a number of U.S. bank holding companies have been creating new...more

FINRA Issues Guidance on Avoiding Investment Scams

Burr & Forman on 3/11/2015

The Financial Industry Regulatory Authority (“FINRA”) recently issued an Investor Alert (the “Alert”) to warn investors about the most prevalent types of investment fraud and provide guidance on how to avoid being defrauded....more

Closed End Funds

Burr & Forman on 4/15/2014

The Financial Industry Regulatory Authority (“FINRA”) has, in recent months, increased its regulatory focus on investor awareness regarding closed-end funds (“CEFs”). In October of last year, FINRA issued an Investor Alert...more