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What FINRA Found In Its Examinations

FINRA recently issued a report regarding its examination findings. FINRA issued this report so that firms can gain insight from the work of FINRA’s examination of other firms. Among the FINRA’s findings are the following...more

What’s The Deal With Branch Office Inspections?

In Notice to Members 17-38, FINRA has put out for comment a change to Rule 3110 that would allow the remote inspection of certain “qualifying offices” as that term is defined by FINRA. In its Notice to Members, FINRA...more

11/28/2017  /  Books & Records , Broker-Dealer , FINRA

So Who Wants To Lie On Their U-4

The SEC recently upheld a statutory disqualification that FINRA imposed where the representative filed a false U-4 and falsely answered compliance questionnaires. It appears as though the registered representative failed to...more

11/13/2017  /  Broker-Dealer , Enforcement Actions , FINRA , SEC

So The SEC Is Now Focused On Retail Investors

The SEC recently announced an enforcement initiative that will target retail investor harm. The agency’s task force will use data analytics to find widespread problems regarding fee disclosures and unsuitable investment...more

National Survey On Marijuana Laws And Regulations

Legalized cannabis – for medical or recreational purposes – is a rapidly expanding industry in the United States, with various states, including California, Colorado, Delaware, Illinois, Maryland, Nevada, New Jersey, New...more

National Survey On Marijuana Laws And Regulations (Update)

Legalized cannabis for medical or recreational purposes is a rapidly expanding industry in the United States, with various states, including California, Colorado, Delaware, Illinois, Maryland, Nevada, New Jersey, New York,...more

National Survey On Marijuana Laws And Regulations (Update)

Legalized cannabis – for medical or recreational purposes – is a rapidly expanding industry in the United States, with various states, including California, Colorado, Delaware, Illinois, Maryland, Nevada, New Jersey, New...more

National Survey On Marijuana Laws And Regulations (Update)

Legalized cannabis – for medical or recreational purposes – is a rapidly expanding industry in the United States, with various states, including California, Colorado, Delaware, Illinois, Maryland, Nevada, New Jersey, New...more

National Survey On Marijuana Laws And Regulations (Updated)

Legalized cannabis – for medical or recreational purposes – is a rapidly expanding industry in the United States, with various states, including California, Colorado, Delaware, Illinois, Maryland, Nevada, New Jersey, New...more

National Survey On Restrictive Covenants In Employment

This survey has been provided by the Fox Rothschild Labor and Employment and Securities Industry practice groups as a quick reference for in-house counsel and human resource professionals. The law in this area not only...more

FINRA Notice To Members; Enhanced Confirmation Disclosures

FINRA has recently issued a notice to members regarding to the enhancement of confirmation disclosures. ...more

7/13/2017  /  Disclosure , FINRA

The Tale Of The Recidivist Broker

The CEO of FINRA recently announced that FINRA plans to provide firms with additional resources to deal with recidivist brokers. So what does this mean? For years, FINRA’s exam priorities have focused on, among other...more

6/29/2017  /  Broker-Dealer , FINRA , Recidivism

So Who Really Is A ‘Debt Collector’ Under The FDCPA?

When the Fair Debt Collection Practices Act became law in 1977, it promised to regulate the conduct of anyone who “regularly collects or attempts to collect … debts owed or due … another.” But the courts have divided over...more

U.S. Supreme Court Imposes Limits On SEC’s Favorite Enforcement Tool

In a ruling that severely hampers one of the SEC’s most powerful enforcement tools, the U.S. Supreme Court held on June 5 that the disgorgement authority of the U.S. Securities and Exchange Commission is subject to a...more

What Are You Doing About Outside Business Disclosures

FINRA is currently reviewing its rules regarding outside business activities and private securities transactions. From time to time, FINRA reviews its rules and application of those rules to see if anything needs to be...more

National Survey on Restrictive Covenants

This survey has been provided by the Fox Rothschild Labor and Employment and Securities Industry practice groups as a quick reference for in-house counsel and human resource professionals. The law in this area not only...more

So You Want To Change Firms

One certainty in the brokerage world is that registered representatives often switch from one member firm to another. There is nothing wrong with the switch, but there is a word of caution to be shared....more

5/4/2017  /  Broker-Dealer , Brokers , FINRA

You Better Watch Your Suitability Determinations

The SEC recently announced that it charged a former broker with knowingly or recklessly trading unsuitable investment products for five customers and taking $170,000 for one of those customers. These charges follow a prior...more

4/26/2017  /  Brokers , Investors , SEC

Who Does What: Broker Dealers | Registered Investment Advisers | Commodities/Futures Entities

At Fox Rothschild LLP, we have a wealth of experience in creating and forming broker-dealers, registered investment advisers, commodity entities and various hedge funds. Over the years, our strategy has been to work with our...more

National Survey on Marijuana Laws and Regulations

Legalized cannabis – for medical or recreational purposes – is a rapidly expanding industry in the United States, with various states, including California, Colorado, Delaware, Illinois, Maryland, Nevada, New Jersey, New...more

Does This Give Rise To A Happy 420

Over the years, federal spending for the prosecution of medical marijuana businesses has been curtailed by the Rohrabacher-Farr Amendment to the spending bills. Now that Farr is retired, the question remained whether there...more

When Independent Commentary Isn’t

The SEC has recently issued an Investor Alert regarding commentary provided about investors from what appear to be independent sources. It turns out, many of those independent sources are not independent at all. Instead, they...more

4/18/2017  /  Enforcement Actions , Investors , SEC

FINRA Is Sanctioning What

In Notice to Members 17-13, FINRA announced changes to its sanction guidelines. In other words, FINRA has listed its new top hits that it is pursuing. Two items bear particular attention....more

4/13/2017  /  Broker-Dealer , FINRA , Senior Investors

National Survey on Marijuana Laws and Regulations

This survey has been provided by the Fox Rothschild Cannabis Practice as a quick reference to relevant laws and statutes governing marijuana usage in the United States. Legalized cannabis – for medical or...more

Another Federal Legislative Push To Protect Legal Cannabis

In a series of bi-partisan bills, two Senators from Oregon proposed massive reform to aid legal cannabis operations throughout the country. The Path to Marijuana Reform includes a series of bills known as: 1. The Small...more

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