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Financial Industry Regulatory Authority (FINRA) Market Abuse

Blank Rome LLP

Regulatory Update and Recent SEC Enforcement Actions

Blank Rome LLP on

FINRA Bar Results from Assertion of Fifth Amendment Right against Self-Incrimination in Criminal Action - On October 5, 2016, the Financial Industry Regulatory Authority (“FINRA”) barred an indicted investment adviser,...more

Brooks Pierce

Rob Cohen Discusses SEC’s Analysis and Detection Center

Brooks Pierce on

One other interesting thing coming out of last Friday’s enforcement discussion at SEC Speaks (there weren’t many): Market Abuse Unit co-chief Rob Cohen’s mention of the SEC’s Analysis and Detection Center. First, though,...more

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