Search for: "Howes v. FINRA"
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11 Apr 2024, 4:57 am
Highlights from the Division of Enforcement included the Staff’s continued use of enforcement sweeps to shape market behavior; how self-reporting and cooperation can positively impact the resolution of matters; an aggressive approach to holding individuals accountable for misconduct and remedies designed to promote strong corporate cultures of compliance; and guidance to practitioners on effective advocacy practices in defending enforcement actions. [read post]
12 Mar 2024, 3:36 am
See, e.g., Memorandum of Law in Support of Coinbase’s Motion for Judgment on the Pleadings, SEC v. [read post]
18 Dec 2023, 2:48 pm
December 18, 2023 Clients, Friends, and Associates: As we near the end of 2023, we have highlighted some recent industry developments that will likely impact many of our clients. [read post]
17 Dec 2023, 9:03 pm
We thoughtfully consider the timing and priorities of our regulatory agenda and how to best utilize our talented and hardworking staff. [read post]
5 Dec 2023, 9:05 pm
., LLC v. [read post]
9 Nov 2023, 9:01 pm
” If a person is a dealer, then that person must register with the SEC as a dealer and become a member of a self-regulatory organization like FINRA unless an exception otherwise applies. [read post]
20 Oct 2023, 6:30 am
Shill (University of Iowa), on Monday, October 16, 2023 Tags: Citizens United v. [read post]
20 Oct 2023, 6:30 am
Shill (University of Iowa), on Monday, October 16, 2023 Tags: Citizens United v. [read post]
3 Oct 2023, 9:01 pm
July 3, 2023, settled) SEC v. [read post]
19 Sep 2023, 11:56 pm
Paine Webber v. [read post]
6 Sep 2023, 9:01 pm
It ensures that most, if not all, of the CAT’s costs are borne by parties that have little or no influence over how the CAT is implemented or how its requirements are interpreted or applied. [read post]
5 Sep 2023, 2:43 pm
From today's decision by Judge Jia Cobb in Seltzer v. [read post]
1 Sep 2023, 7:47 am
Scott cited Heasley v. [read post]
1 Aug 2023, 6:04 am
Security futures, on the other hand, are subject to oversight by not just the CFTC but also the SEC, NFA, and FINRA. [read post]
31 Jul 2023, 9:05 pm
In Lucia v. [read post]
19 May 2023, 2:19 pm
During FINRA’s 2023 Annual Conference held on May 16-18, 2023, several panels provided insight into how FINRA is currently using CAT data for market surveillance and how FINRA plans to use the data going forward to both develop more sophisticated surveillance reviews and further promote industry-wide efficiencies. [read post]
23 Apr 2023, 9:01 pm
They both knew how important it was to protect investors and promote our capital markets. [read post]
28 Mar 2023, 9:01 pm
The first requirement would be a plain English summary of the cybersecurity risks that could materially affect the entity’s business and operations, and how the entity assesses, prioritizes, and addresses those risks. [read post]
30 Jan 2023, 12:55 pm
Does it matter how the AI trading software failed? [read post]
23 Jan 2023, 9:01 pm
Specified limit price: This term is not defined in the proposed rule, and the proposal does not set any particular parameters for how the limit price is set. [read post]
