Every year, the Financial Industry Regulatory Authority (FINRA) issues an Annual Regulatory Report in an effort to provide FINRA Member Firms with insight into findings from FINRA’s regulatory operations programs. The Annual...more
Recent case developments in Alpine Sec. Corp. v. FINRA before the D.C. Circuit cast further uncertainty on the future of the Financial Industry Regulatory Authority (FINRA)’s enforcement arm....more
Florida Senate Bill 556, passed in May of 2024 and set to go into effect on January 1, 2025, establishes the new Florida Statute § 415.10341, which is intended to better protect “specified adults” from financial exploitation....more
The Securities and Exchange Commission (SEC) has recently proposed (July 29, 2023) and rapidly adopted (August 23, 2023) amendments to SEC Rule 15b9-1 that will essentially require almost all broker-dealers to become...more
Whether you are an employer attempting to maintain and enforce non-compete provisions in contracts with your employees, or an employee trying to navigate career developments despite being subject to such a provision, you need...more