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Good Faith › Financial Industry Regulatory Authority (FINRA)

Proskauer - Law and the Workplace

New York City Council Introduces Three New Bills Aimed at Non-Competes

Proskauer - Law and the Workplace on

Joining an emerging trend of legislative and regulatory hostility towards non-compete agreements, on February 28, 2024, the New York City Council introduced three new bills proposing restrictions on non-compete agreements in...more

Buchalter

PPP Lender Liability, Enforcement, & Fintech Challenges

Buchalter on

The Paycheck Protection Program (“PPP”) emerged as a lifeline for small businesses grappling with the unprecedented challenges of the COVID-19 pandemic. Lenders navigated a landscape of regulations that Congress quickly...more

Morrison & Foerster LLP

Top 5 SEC Developments (October 2023)

Morrison & Foerster LLP on

Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month we examine: • Fraud and internal control failure charges against...more

Lowenstein Sandler LLP

SEC and FINRA Provide Reg. BI and Form CRS Guidance as the Implementation Date Approaches

Lowenstein Sandler LLP on

What You Need To Know: -The implementation date for Reg. BI and Form CRS remains June 30, 2020. -The SEC’s initial compliance review will be focused on “good-faith efforts.” Firms should make good faith efforts to implement...more

Morgan Lewis

FINRA Releases Revised 4210 Margin Rule Proposal

Morgan Lewis on

The reproposed amendments to Rule 4210 attempt to address commenters’ concerns that the original proposed rule would impact business activity in the TBA market....more

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