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...
On September 30, 2013, the Securities and Exchange Commission issued a staff response to Frequently Asked Questions (“FAQ”) regarding the role and duties of the Chief Compliance Offic...
On September 18, 2013, the Securities and Exchange Commission adopted its final rule on the permanent registration of municipal advisors. The final rule replaces the current temporary reg...
The staff of the SEC’s Division of Trading and Markets recently released answers to frequently asked questions (“FAQs”) about Securities Exchange Act Rule 15a-6, which are available...
On January 31, 2013, the Financial Industry Regulatory Authority (“FINRA”) issued a Regulatory Notice requesting comment on new proposed FINRA rules governing markups, markdowns, comm...
On January 10, 2013, the Financial Industry Regulatory Authority (“FINRA”) announced that it is inviting prospective crowdfunding funding portals to voluntarily submit information to ...
On August 22, 2012, the SEC staff released Frequently Asked Questions (“FAQs”) about certain JOBS Act provisions that address the conduct of research analysts and the publication of r...
On July 11, 2012, the SEC adopted a rule requiring the national securities exchanges and FINRA to jointly propose and implement a plan that would require these organizations and their mem...
The Securities and Exchange Commission has approved the Municipal Securities Rulemaking Board’s Interpretive Notice concerning the application of MSRB’s fair dealing rules – MSRB Ru...
