Financial Services and Regulatory Law

Scarinci Hollenbeck’s Corporate Transactions and Business practice group regularly provides content on various aspects of financial services and regulatory law. To receive our attorneys’ financial services and regulatory law articles please subscribe to our email list.

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Scarinci Hollenbeck remains committed not only to providing top-tier legal services but also to regularly providing information and resources to our client base and internet following. Client Alerts provided by our attorneys supply businesses, municipalities, and more with the latest and relevant legal updates that may impact them and how they might be able to proceed.

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The Current Administration's Proposals for the Financial Services and Banking Industries Will Affect Your Business

Since his inauguration two months ago, Donald Trump’s administration and the Congress it controls have indicated important upcoming policy changes. These changes will impact financial services policies and priorities. The changes will particularly affect cryptocurrency, as well as banking rules and regulations. Key Regulatory Changes in Cryptocurrency For example, in the burgeoning cryptocurrency business environment, […]

Author: Dan Brecher

March 28, 2025

SEC Takes Actions Against Issuers for Failure to File Form D

In December, the U.S. Securities and Exchange Commission (SEC) announced charges against two privately held companies for failing to file a Form D notice, which is generally utilized for exempt securities offerings. Here, the SEC’s enforcement sends a strong message: compliance with regulatory requirements is not optional and failure to comply can have significant consequences. […]

Author: Kenneth C. Oh

March 18, 2025

SEC Secures Groundbreaking Win in Shadow Trading Insider Trading Case

The Securities and Exchange Commission (SEC) has a new insider trading theory that all issuers and corporate insiders should have on their radar. While the agency claims the “shadow trading” theory is not “novel,” a recent federal verdict marks the first time that the SEC has successfully held a corporate official liable for insider trading […]

Author: Dan Brecher

April 19, 2024

FINRA Rule 3110 Explained

Known as the “Supervision Rule,” FINRA Rule 3110 requires brokerage firms to establish, maintain, and enforce a system to supervise the activities of their associated persons. The rule stipulates that the system of supervision should be reasonably designed to achieve compliance with all applicable regulations established by the Financial Industry Regulatory Authority (FINRA) and the […]

Author: Angela A. Turiano

April 10, 2024

Financial Services

Why FINRA Expungements Can Remove Damaging Form U5 Disclosures

Because Form U5 filings are available to regulators, state agencies, and potential employers, misleading or inaccurate information can threaten the livelihood of broker-dealers, registered investment advisers, and other FINRA-registered financial professionals. To protect your reputation, it is imperative to take prompt legal action, which may involve seeking FINRA expungements. FINRA Expungements: When a Form U5 […]

Author: Scarinci Hollenbeck, LLC

January 23, 2024

Recent Changes and Trends in FINRA Expungement: Insights for Financial Advisors

The FINRA expungement process allows brokers, financial advisors, and other registered financial professionals to clear their names in response to unfounded or inaccurate allegations. Because the process can be challenging to navigate, particularly in light of recent amendments to FINRA’s expungement rules, it is advisable to work with an experienced FINRA expungement attorney. Navigating the […]

Author: Scarinci Hollenbeck, LLC

October 17, 2023

FINRA Expungement

FTC Stepping Up Scrutiny of Online Endorsements and Business Reviews - Are You Prepared?

The Federal Trade Commission (FTC) recently updated its Guides Concerning the Use of Endorsements and Testimonials — better known as the “Endorsement Guides.” The Federal Trade Commission (FTC) recently updated its Guides Concerning the Use of Endorsements and Testimonials — better known as the “Endorsement Guides.” The FTC also proposed a new rule that would give the FTC […]

Author: Dan Brecher

July 28, 2023

Financial Securities Attorneys to Present on de-SPACs

Dan Brecher to Speak at Strafford CLE Webinar “SPACs, de-SPACs, and Sponsor Liability: Conflicts of Interest, Mismanagement Claims, Disclosure Obligations” On Tuesday, May 2, 2023, Financial Securities attorney Dan Brecher will be speaking on a panel as part of a Strafford CLE Webinar entitled, “SPACs, de-SPACs, and Sponsor Liability: Conflicts of Interest, Mismanagement Claims, Disclosure Obligations”. The CLE webinar […]

Author: Scarinci Hollenbeck, LLC

March 2, 2023

Examining SEC Enforcement Trends Can Boost Your Compliance Efforts

SEC Chair Gary Gensler recently highlighted the pivotal role that enforcement plays in achieving the SEC’s overall mission... In recent remarks at the Securities Enforcement Forum, SEC Chair Gary Gensler highlighted the pivotal role that enforcement plays in achieving the SEC’s overall mission. Using a football analogy, Gensler noted that without referees, teams (without fear […]

Author: Scarinci Hollenbeck, LLC

November 30, 2021

Securities and Exchange Commission

What to Know About the SEC’s “Shadow Trading” Enforcement Action

The Securities and Exchange Commission (SEC) recently brought an enforcement action against a biopharmaceutical executive for a form of insider trading known as “shadow trading.” The Securities and Exchange Commission (SEC) recently brought an enforcement action against a biopharmaceutical executive for a form of insider trading known as “shadow trading.” The term refers to when […]

Author: Dan Brecher

September 30, 2021

Securities and Exchange Commission

New CFTC Guidance Proposes a Roadmap for Reduced Fines

The Commodity Futures Trading Commission recently issued new Guidance that makes it clear that companies will be rewarded for good behavior... The Commodity Futures Trading Commission (CFTC or Commission) recently issued new Guidance that makes it clear that companies will be rewarded for good behavior. The CFTC’s Division of Enforcement Guidance specifically explains how companies […]

Author: Scarinci Hollenbeck, LLC

November 12, 2020

Top Takeaways from FinCEN’s AML Enforcement Guidance

The Financial Crimes Enforcement Network (FinCEN) recently issued the first of its kind guidance describing its enforcement approach to enforcing the Bank Secrecy Act (BSA). The Financial Crimes Enforcement Network (FinCEN) recently issued the first of its kind guidance describing its enforcement approach to enforcing the Bank Secrecy Act (BSA). According to FinCEN, the objective […]

Author: Scarinci Hollenbeck, LLC

September 23, 2020

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