SEC Approves New FINRA Member Communication Rules
In April, the SEC approved a significant revamping of FINRA rules regarding member communications with the public (the “New Rules”). The rule changes are a culmination of a multi-year effort by FINRA...
View ArticleFINRA Outlines 2013 Regulatory Priorities
In keeping with its prior year practice, on January 11, 2013, FINRA (the “Agnecy”) issued a Examination Priorities Letter to member firms highlighting the areas of the industry it intends to focus...
View ArticleRecent FINRA Anti-Money Laundering Actions against Member Firms
Recent penalties imposed by the Financial Industry Regulatory Authority (FINRA) against three companies that failed to implement adequate procedures to detect money laundering demonstrate the agency’s...
View ArticlePrivate Placements under FINRA Scrutiny
Peter Tyson and Simon Riveles The Financial Industry Regulatory Authority (“FINRA”) announced in its Annual Regulatory and Examination Priorities Letter from January 11, 2013 that it would prioritize...
View ArticleNewly Created “Capital Acquisition Broker” Rule Reduces Regulatory Burdens on...
By Greg Caramenico and Lauren Mack On August 18th, the Securities and Exchange Commission (“SEC”) approved a Financial Industry Regulatory Authority Inc. (“FINRA”) rule that establishes less burdensome...
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