May 16, 2017
On May 15, 2017, FINRA issued Regulatory Notice 17-20 (RN-17-20) to request comment on the effectiveness and efficiency of its rules on outside business activities (OBA) and private securities transactions as part of a new retrospective rule review. RN-17-20 outlines the general retrospective rule review process and seeks responses to…
March 30, 2017
On March 28, 2017, the Securities and Exchange Commission (“SEC”) issued a Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, by the Financial Industry Regulatory Authority (“FINRA”), relating to the Private Placement Filer Form (the “Filer Form”). SEC Release No. 34-80321.
September 27, 2013
The SEC issued a statement on how it will function in the event the government shuts down on October 1, 2013. This link will take you to the announcement.
May 3, 2013
May 2, 2013
Broker Dealings A Broker-Dealer Law Blog sm is a blog published by Seward & Kissel LLP that reviews regulatory and legal events of interest to attorneys, compliance officers, executives and other participants in the broker dealer industry. If you have any questions regarding Broker-Dealings feel free to contact…