News & Analysis as of

Financial Industry Regulatory Authority (FINRA) Constitutional Challenges

UB Greensfelder LLP

[Webinar] FINRA: A Look Back at 2023 and What’s In Store for 2024 - December 19th, 12:00 pm - 1:00 pm EST

UB Greensfelder LLP on

Join Ulmer partner Alan M. Wolper as he addresses hot topics including FINRA's oversight of Reg BI, trends in enforcement and arbitration filings, and perspective whether FINRA would survive a constitutional challenge....more

Bracewell LLP

FINRA Facts and Trends: October 2023

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Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This month,...more

Carlton Fields

The Hits Keep Coming for FINRA, Closing Out a Brutal Summer

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It’s not just the New York Yankees that wish they could put the summer behind them. We previously wrote about the shocking blow the D.C. Circuit Court of Appeals dealt FINRA in early July by enjoining the self-regulatory...more

Burr & Forman

The Assault on the SEC’s Administrative Citadel Continues

Burr & Forman on

A panel of the D.C. Circuit recently relied on Lucia and Cochran to enjoin a FINRA regulatory enforcement action pending appeal of an Appointments Clause challenge....more

Carlton Fields

A Coming Seismic Shift in Administrative Law? Or Just a Tremor?

Carlton Fields on

Article I of the U.S. Constitution articulates the fundamental principles that “[a]ll legislative Powers … shall be vested in a Congress,” “[t]he executive Power shall be vested in a President,” and “[t]he judicial Power …...more

Allen Matkins

Is The End Of FINRA Drawing Nigh?

Allen Matkins on

The Financial Industry Regulatory Authority, aka FINRA, is a non-profit Delaware corporation.  It was formed in 2007 by the combination of the National Association of Securities Dealers, Inc. and the regulatory arm of the New...more

WilmerHale

D.C. Circuit Forfeiture Holding Highlights Importance of Involving Litigation Counsel in the Early Stages of Administrative Agency...

WilmerHale on

On February 26, 2021, in Springsteen-Abbott v. Securities and Exchange Commission, a panel of the U.S. Court of Appeals for the D.C. Circuit held that a petitioner challenging sanctions imposed by the Financial Institutions...more

Cozen O'Connor

Notice of Appeal - October 2018

Cozen O'Connor on

Precedential Opinions of Note - Third Circuit Affirms Constitutionality of New Jersey’s Non-Monetary Bail Reform - Holland v. Rosen (July 9, 2018), No. 17-3104 http://www2.ca3.uscourts.gov/opinarch/173104p.pdf Unanimous...more

Robins Kaplan LLP

Your Daily Dose of Financial News

Robins Kaplan LLP on

The SEC has taken its first enforcement action against a hedge fund over its cryptocurrency investments—namely, falsely holding itself out as the “first regulated fund in the U.S. focused on crypto assets.” It also targeted a...more

Carlton Fields

Expect Focus - Volume II, June 2018

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New York Pushes Mutual Fund Active Share Disclosure - New York’s Attorney General issued a report on its recent investigation of fees charged by actively managed equity mutual funds and a metric known as “Active Share.”...more

Proskauer Rose LLP

2016 Proskauer Annual Review and Outlook for Hedge Funds, Private Equity Funds and Other Private Funds

Proskauer Rose LLP on

This special report provides a summary of some of the significant changes and developments that occurred in the past year in the private equity and hedge funds space, as well as certain recommended practices that investment...more

Carlton Fields

What’s Your Game Plan? Offensive or Defensive: Playing to Your Strengths [Expect Focus – October 2016]

Carlton Fields on

- AXA Prevails at First Post-Jones v. Harris Excessive Fee Trial - Potential Secondary Effects of Regulatory Examinations: Evidentiary Issues and Preclusion in Parallel Litigation - On The Horizon: Global...more

Manatt, Phelps & Phillips, LLP

Corporate Investigations and White Collar Defense - August 2016

Spotlight on the False Claims Act - Why it matters: This month, we review a recent Ninth Circuit case that allowed a qui tam relator’s action against various Medicare Advantage organizations to proceed, holding that the...more

Goodwin

Financial Services Weekly News - August 2016 #2

Goodwin on

Editor's Note - OATS Reporting Violations and FINRA Enforcement. FINRA’s Order Audit Trail System (OATS), is an integrated audit trail of order, quote and trade information for all NMS stocks and OTC equity securities,...more

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