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8 Aug 2022, 4:02 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6599/securities-industry-commentator/Overtime at Merrill Lynch Prompts Uneven-Handed FINRA Regulation (BrokeAndBroker.com Blog)Case Allowed to Move Forward Against RobinhoodIn re: January 2021 Short Squeeze Trading Litigation (Securities Tranche) (Order, SDFL)Vancouver, Washington 'Investment Advisor' pleads guilty to defrauding… [read post]
6 Feb 2023, 3:08 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6876/securities-industry-commentator/ Lira v. [read post]
21 Jun 2022, 4:24 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6514/securities-industry-commentator/BREAKING NEWS: SCOTUS overturns Roe v. [read post]
29 Apr 2022, 12:40 pm
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6431/securities-industry-commentator/A Customer Complaint That Wasn't and A Servicing Broker Who Wasn't (BrokeAndBroker.com Blog)SEC Charges NVIDIA Corporation with Inadequate Disclosures about Impact of Cryptomining (SEC Release)APPLETON MAN SENTENCED TO 15 YEARS' IMPRISONMENT FOR PONZI SCHEME (DOJ Release)Providence Man… [read post]
25 Aug 2024, 6:18 am
If any any significant regulatory actions occur in the interim (like releases related to the Annual Regulatory Fees due in September), we will note them on our Broadcast Law Blog. [read post]
17 Mar 2011, 6:44 am
FINRA has issued Regulatory Notice 11-08, seeking comment relating to its proposal to consolidate NASD & NYSE rulebooks in the area of markups (and markdowns), commissions, and fees. [read post]
11 Nov 2019, 8:17 am
On 8 November 2019, there was published in the Official Journal of the European Union (OJ) a Commission Delegated Regulation (EU) 2019/1866 which amends Article 18 of Delegated Regulation (EU) 2017/653 supplementing the Regulation on key information documents for packaged retail and insurance-based investment products (PRIIPs) by laying down regulatory technical standards with regard to the presentation, content, review and revision of key information documents and the… [read post]
14 Mar 2018, 10:22 am
Court of Appeals for the Second Circuit issued a decision interpreting Clean Water Act (CWA) Section 401 and the Federal Regulatory Energy Commission’s (FERC) permitting authority, which may have settled some lingering legal issues for the construction of pipelines. [read post]
6 Feb 2018, 10:30 am
The “applicability date” of the 2015 Rule is February 6, 2020, and this additional time will provide the agencies with an opportunity to review and revise, as appropriate, the provisions of the 2015 Rule. [read post]
1 Jul 2015, 3:29 am
According to a notice in the Federal Register, OMB wrapped up its review on May 13 (although it took the Commission nearly seven weeks to get word of that milestone into the Register). [read post]
5 Mar 2018, 7:16 am
When finalised the draft guides will not be legally binding nor will they be a substitute for any applicable regulatory requirement. [read post]
3 Nov 2011, 11:43 am
Without admitting or denying the findings, FINRA consented to the SEC's Order and agreed to engage an independent consultant within 30 days to conduct a comprehensive review of FINRA's policies, procedures and training. [read post]
27 Aug 2010, 10:25 am
And for the last many years, sales practice abuses aimed at seniors have been the subject of numerous examinations and regulatory inquiries. [read post]
10 Aug 2016, 2:00 am
Court of Appeals for the Third Circuit released an opinion rejecting several challenges to environmental permits and authorizations granted by environmental regulatory agencies in New Jersey and Pennsylvania. [read post]
26 Feb 2021, 1:53 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Scott Richard Hansen for three months from the securities industry over allegations that Mr. [read post]
12 Jun 2007, 6:55 am
Topics of discussion will include the Truth in Lending Act, wrongful repossession and other regulatory violations triggering legal action from members. [read post]
10 May 2023, 11:19 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended former Morgan Stanley broker Michael R. [read post]
24 Jan 2011, 9:05 am
The conference will focus on legislative initiatives, regulatory changes, and new precedent issued during the first half of the Obama Administration. [read post]
1 Jul 2015, 3:29 am
According to a notice in the Federal Register, OMB wrapped up its review on May 13 (although it took the Commission nearly seven weeks to get word of that milestone into the Register). [read post]
7 Apr 2011, 10:10 am
A questionnaire was completed and submitted to the SRA for review. [read post]
