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Searching Content by Anna T. Pinedo ordered by Published Date Descending.
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1
SEC Enforcement Update
On September 6, 2019, Co-Director of Enforcement Steven Peikin of the SEC delivered a speech at the Securities Conference 2019. During this address, he discussed whether the SEC's Division
United States
18 Oct 2019
2
SEC Summarizes Regulation Best Interest And Form CRS Relationship Summary
If you were somewhat put off by the prospect of reading over 1,000 pages of adopting releases for Regulation Best Interest and the Form CRS relationship summary and amendments to Form ADV, you are now
United States
18 Oct 2019
3
FINRA Sanctions Representative And Member For Unsuitable Recommendation Of Financial Product
A general securities representative settled Financial Industry Regulatory Authority ("FINRA") charges for advising customers to purchase Leveraged and Inverse Exchange Traded Funds
United States
18 Oct 2019
4
Attorneys General Sue The SEC To Invalidate Regulation Best Interest
The Attorneys General of seven states – New York, California, Connecticut, Delaware, Maine, New Mexico, Oregon – and the District of Columbia
United States
18 Oct 2019
5
FINRA Updates Rule 2232 FAQs
FINRA recently updated its frequently asked questions about Rule 2232, which requires that FINRA members disclose in their confirms to retail customers their markups
United States
18 Oct 2019
6
FINRA: Keep Advertising Simple
In Regulatory Notice 19-31 (the "Notice"), FINRA focuses on keeping marketing materials fair and balanced, as required by FINRA Rules 2210 – 2220, but also keeping those materials short and sweet.
United States
18 Oct 2019
7
Frequent Principal And Trading Agency Cross Transactions Compliance Issues
Section 206(3) makes it unlawful, with certain limited exceptions, for an investment adviser to directly sell or purchase securities to and from clients or to act as a broker for a third party effecting
United States
17 Oct 2019
8
Testing The Waters For All – New Rule 163B Expands TTW To All Issuers
On September 26, 2019, the US Securities and Exchange Commission (Commission) extended the ability to test the waters to all issuers by adopting the highly anticipated new Rule ...
United States
9 Oct 2019
9
Proposed Changes To Rule 15c2-11
One of the Securities and Exchange Commission's priorities under Chair Clayton's leadership has been protection of retail investors, including through rigorous enforcement of microcap fraud
United States
7 Oct 2019
10
Establishing An Issuer Rule 10b5-1 Plan With An ATM Offering
This article summarizes key questions that an issuer may raise in connection with deciding whether to establish a Rule 10b51 trading plan in conjunction with the issuer's at-the-market offering program.
United States
3 Oct 2019
11
SEC Proposes Update Of Statistical Disclosures For Bank And Savings And Loan Registrants, Replacing Industry Guide 3
On September 17, 2019, the Securities and Exchange Commission (SEC) proposed rules to update the statistical disclosures that bank and savings and loan registrants provide to investors.
United States
27 Sep 2019
12
Upcoming SEC Open Meeting (September 27,2019)
On September 25, 2019, the Securities and Exchange Commission will hold an open meeting to consider a number of topics
United States
27 Sep 2019
13
House Financial Services Committee And House Of Representatives Address Capital Formation Related Bills
This past week, the House Financial Services Committee considered and passed a few bills that would, if passed by the House, result in changes to the securities laws.
United States
26 Sep 2019
14
Insights From Chair Clayton On SEC Priorities
At the Economic Club of New York, in keynote remarks, Chair Clayton reviewed the Securities and Exchange Commission's recent initiatives.
United States
13 Sep 2019
15
Business Development Company Guide For Capital Markets
In this Lexis Practice Advisor® Practice Note, we provide answers to questions frequently asked by securities lawyers and their clients regarding the federal securities laws
United States
10 Sep 2019
16
Volcker Rule Revisions Adopted By Agencies - August 29, 2019
The US federal banking and functional regulators ("Agencies")1 have finalized revisions to the proprietary trading and compliance program provisions of the Volcker Rule (the "2019 Revisions").2
United States
3 Sep 2019
17
FINRA Rule 5110 – An Amendment To The Proposed Rule Change
The Financial Industry Regulatory Authority, Inc. ("FINRA") has again released proposed revisions to FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements).
United States
2 Sep 2019
18
FINRA Seeks Comment On Senior Protection Rules
On August 9, 2019, FINRA issued Regulatory Notice 19-27 requesting comments on its rules and administrative processes that most directly apply to financial exploitation of senior investors.
United States
2 Sep 2019
19
Update On Proposed NAIC Amendments Affecting Insurance Company Buyers Of Structured Notes
As we reported in the prior issue, the National Association of Insurance Commissioners Valuation of Securities Task Force would be considering the recommendation from the Director of the NAIC Securities Valuation Office.
United States
2 Sep 2019
20
FINRA Reminds Firms To Engage With The SEC On Regulation Best Interest
On August 7, 2019, FINRA issued Regulatory Notice 19-26, which reminded member firms that Regulation Best Interest and the related Form CRS relationship summary were each adopted by the SEC on June 5, 2019.
United States
2 Sep 2019
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