On September 19, 2014, the Financial Industry Regulatory Authority announced that its Board of Governors approved a series of regulatory initiatives primarily focused on equity and fixed ...
On September 8, 2014, the Securities and Exchange Commission (“SEC”) proposed a rule to permanently exempt the publication or distribution of certain security-based swap price quotes ...
The Securities and Exchange Commission (“SEC”) recently issued a proposal to establish a framework of recordkeeping, reporting and notification requirements for security-based swap de...
The SEC’s Division of Trading and Markets recently issued an important No-Action Letter that effectively permits “M&A Brokers” to advise on and arrange certain securities transactio...
FINRA rules require broker-dealer members to establish and maintain a system and written procedures to supervise the activities of their personnel, which are reasonably designed to achiev...
This article provides an overview of the proposed crowdfunding exemption, focusing on the obligations under the proposed Securities and Exchange Commission rules applicable to crowdfundin...
Articles & Books
Regulatory Reform, New York Law Journal (December 16, 2013)
Responding to a perceived gap in the regulatory framework, as well as losses experienced by certain municipalities during the financial crisis, Congress adopted as part of the Dodd-Frank ...
The Securities and Exchange Commission recently proposed rules under the JOBS Act that would permit certain private issuers to raise investment capital through crowdfunding over the inter...
As the second anniversary of FINRA Rule 2111 rule approaches, FINRA has issued Regulatory Notice to Members 13-31 (the “Notice”) summarizing its observations from examinations of firm...
On September 18, 2013, the SEC adopted a final rule (the “Final Rule”) establishing a permanent registration scheme to replace the temporary registration scheme for municipal advisors...
