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FINRA

Scarinci Hollenbeck’s Corporate Transactions and Business practice group regularly provides content on various aspects of FINRA. To receive our attorneys’ FINRA articles please subscribe to our email list.
FINRA Wants to Know If Broker-Dealers Are Involved in Digital Assets

FINRA Wants to Know If Broker-Dealers Are Involved in Digital Assets

The Financial Industry Regulatory Authority (FINRA) is ‘encouraging’ broker-dealers to keep it informed about their activities involving digital assets… The Financial Industry Regulatory Authority (FINRA) is ‘encouraging’ broker-dealers to keep it informed about their activities involving digital assets. Under Notice 20-23, FINRA is requesting that broker-dealers keep their Risk Monitoring Analyst informed if the firm, […]

Author: Paul A. Lieberman
July 29, 2020
    Client Alert: SEC and FINRA issue Regulatory Relief During COVID-19 Pandemic

    Client Alert: SEC and FINRA issue Regulatory Relief During COVID-19 Pandemic

    On March 23, 2020, the National Society of Compliance Professionals (“NSCP”) convened regulators and industry experts to discuss regulatory guidance recently issued by the U.S. Securities and Exchange Commission (the “SEC”) and the Financial Industry Regulatory Authority (“FINRA”) in a webinar for NSCP members. On March 23, 2020, the National Society of Compliance Professionals (“NSCP”) […]

    Author: Paul A. Lieberman
    March 25, 2020
    Third Circuit Rules Broker’s Forum Selection Clause Doesn’t Override FINRA Arbitration

    Third Circuit Rules Broker’s Forum Selection Clause Doesn’t Override FINRA Arbitration

    The Third Circuit Court of Appeals Recently Held that a Forum Selection Clause in a Brokerage Agreement Doesn’t Negate a Requirement to Submit to Arbitration In a precedential opinion, the Third Circuit Court of Appeals recently held that a forum selection clause in a brokerage agreement doesn’t negate a requirement to submit to arbitration pursuant […]

    Author: Paul A. Lieberman
    September 24, 2018
    All About New FINRA Sanction Guidelines

    All About New FINRA Sanction Guidelines

    On May 2, 2018, The Financial Industry Regulatory Authority (FINRA) announced revisions to its Sanction Guidelines to reflect changes to General Principle No. 2.  FINRA now advises that when the current violation and a respondent’s disciplinary history, including a history of arbitration awards and arbitration settlements, form a pattern, adjudicators should consider imposing more stringent sanctions.

    Author: Paul A. Lieberman
    June 11, 2018

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