Earlier this month, the U.S. Second Circuit Court of Appeals denied the government’s request that the court reexamine its ruling in United States v. Newman. ...
Opening Remarks to the Investor Advisory Committee
The firm gets an exemption from Rules 101 and 102 of Regulation M under the Securities Exchange Act of 1934 in connection with a proposed ...
It’s right there in black and white in FINRA’s 2015 regulatory and examinations priorities letter as one of five key challenge areas for broker-dealers: supervision, ...
This proposed rule from the SEC in 2015 would revise Exchange Act rule 15b9-1 to replace the gross income allowance with a narrower exemption from ...
Statement on Jury Verdict in Trial Of George Levin Who Raised $157 Million for Scott Rothstein’s Ponzi Scheme
FINRA Survey to Create the Securities Trader Qualification Examination
FINRA Requests Comment on the Effectiveness and Efficiency of its Membership Application Rules ...
Grading the Commission’s Record on Capital Formation: A+, D, or Incomplete?
This JOBS Act-related final rule from the SEC in 2015 includes rules for eligibility requirements for Regulation A offerings.