News & Analysis as of

Broker-Dealer Investment Opportunities

Mayer Brown Free Writings + Perspectives

Broker-Dealer Settles FINRA Charges for Failures Relating to Use of Social Media Influencer Program

On March 18, 2024, FINRA announced that it has fined a broker-dealer $850,000 in connection with the firm’s program to pay individuals with followings on social media sites (i.e., “influencers”) to promote the firm in social...more

Burr & Forman

All Eyes on Digital Assets

Burr & Forman on

The price of Bitcoin recently topped $57,000.  New York’s Attorney General issued an Investor Alert on Virtual Currency Risks, as did the SEC’s Division of Examinations....more

Pullman & Comley, LLC

Broker Beware: As Volatile Market Customer Arbitrations Spike, Who is Looking Out for Your BrokerCheck® Reporting Record?

Pullman & Comley, LLC on

As investors start to receive - and dare to open – recent account statements, the reality of the COVID-19 driven spring market volatility will come into focus.  Significant portfolio declines coupled with the financial stress...more

Polsinelli

FINRA, Following the SEC, Prioritizes Supervision of Digital Assets in 2019 “Priorities Letter”

Polsinelli on

On January 22, 2019 FINRA, the self-regulatory organization for U.S. broker-dealers, released its “Risk Monitoring and Examination Priorities Letter” for 2019. A number of of FINRA’s hot topics for 2019 should be of interest...more

Carlton Fields

Class Certification Denied in Suitability Class Action

Carlton Fields on

The Southern District of New York recently declined to certify a class in a suit relating to investments in certain closed-end mutual funds, holding that individual questions overwhelmed the class-wide questions in...more

Vedder Price

Investment Services Regulatory Update - February 2018

Vedder Price on

New Rules, Proposed Rules, Guidance and Alerts – SEC STAFF GUIDANCE AND ALERTS - SEC Staff Issues Guidance on Cryptocurrency-related Holdings - On January 18, 2018, the staff of the SEC’s Division of Investment...more

Troutman Pepper

Top 5 Things You Should Know About Online Direct (P2P) Lending Law And Regulations — Before You Do Anything Else!

Troutman Pepper on

Few people following the crowdfunding space have been able to ignore the recent meteoric rise of online direct lending, often called “peer-to-peer” (P2P) lending. What started out as a simple one-to-multiple consumer lending...more

7 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide