News & Analysis as of

Financial Industry Regulatory Authority (FINRA) Morgan Stanley

Burr & Forman

FINRA and UTMA/UTGA Accounts: Know Your Customer, and Continue to Monitor

Burr & Forman on

Firms permitting the creation and operation of custodial accounts related to Uniform Transfers to Minors Act (UTMA) or Uniform Gifts to Minors Act (UGMA) transactions must take special notice of Financial Industry Regulatory...more

Robins Kaplan LLP

Financial Daily Dose 12.20.2019 | Goldman nearing $2B deal with DOJ to resolve 1MDB scandal claims

Robins Kaplan LLP on

Goldman Sachs is reportedly in negotiations with federal prosecutors to resolve claims about its role in the Malaysian 1MDB scandal for upwards of $2 billion. A settlement—which “could include a guilty plea from Goldman’s...more

Seyfarth Shaw LLP

Former Protocol Members Are Stepping Up Their Restrictive Covenant Enforcement

Seyfarth Shaw LLP on

As we have discussed on this Blog over the past several years, the Protocol for Broker Recruiting (“Protocol”) allows for reciprocal poaching of brokers....more

Ogletree, Deakins, Nash, Smoak & Stewart,...

The Protocol for Broker Recruiting Suffers Major Defections—and May Suffer More

Three prominent financial services companies recently announced their withdrawal from the Protocol for Broker Recruiting, an agreement among securities firms regulating the conduct of stockbrokers changing jobs and curtailing...more

Robins Kaplan LLP

Your daily dose of financial news - The Brief – 6.30.16

Robins Kaplan LLP on

US banks made a strong showing in part 2 of the latest round of the Fed’s stress tests. Only Morgan Stanley didn’t pass unconditionally (concerns over the company’s “internal controls and processes” tripped it up), while the...more

Robins Kaplan LLP

Your daily dose of financial news The Brief – 3.16.16

Robins Kaplan LLP on

Chair Yellen will report on the Fed’s latest meeting at 2pm EDT today. Thanks to the Journal, we’ve got 5 Things to Watch when she does – WSJ... All is not well at Valeant, the struggling drug maker whose stock dropped...more

Goodwin

Financial Services Weekly News Roundup - June 2015 #4

Goodwin on

Regulatory Developments - Client Alert: SEC Proposes Pay for Performance Rules: Goodwin Procter’s Capital Markets practice has issued a Client Alert on the SEC’s proposed rule that would require most public...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