Scarinci Hollenbeck regularly publishes articles pertaining to legal updates affecting individuals and institutions in New York and New Jersey, and the world at large. Here you can find coverage for when we welcome new attorneys, significant wins we’ve secured on behalf of our clients, and general announcements.
Results for finra articles
FINRA Wants to Know If Broker-Dealers Are Involved in Digital Assets
Author: Paul A. LiebermanDate: July 29, 2020
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, or its associated persons or affiliates, currently engages, or intends to engage, in any activities related to digital assets.
“As the area of digital assets continues to evolve and present unique regulatory challenges, FINRA believes it is important to keep the lines of communication with [dealers] open,” FINRA said in the Notice.
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...
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...
What to Know About New FINRA Sanction Guidelines
FINRA Recently Announced Revisions to its Sanction Guidelines On May 2, 2018, The Financial Industry Regulatory Authority (FINRA) announced revisions...
What The FINRA Rule 2232 Amendments Mean
SEC approves Amendments to Require Mark-Up/ Mark-down disclosure on confirmations for trades with retail investors in Corporate and Agency Bonds...
FINRA Publishes New Social Media Guidance
May 24, 2017
To Keep Pace with the Increasing Popularity of Social Media, FINRA Publishes New Social Media Guidance Brokers and advisers increasingly...
SEC and FINRA Name Cybersecurity Top Enforcement Priority
February 10, 2017
SEC and FINRA named cybersecurity as a top enforcement priority for 2017 Registered financial advisers and broker dealers should expect their cybersecurity...
FINRA Shuts Down Crowdfunding Portal
December 29, 2016
FINRA recently expelled crowdfunding portal uFundingPortal (UFP) The Financial Industry Regulatory Authority (FINRA) recently expelled crowdfunding platform uFundingPortal (UFP) LLC. It marks...
FINRA & the Culture of Compliance
February 10, 2016
FINRA examiners are looking for "Culture of Compliance" The Financial Industry Regulatory Authority (FINRA) recently published its 2016 Regulatory and...
Client Perseverance Equals Success in FINRA Arbitration
July 23, 2015
Scarinci Hollenbeck Partner Joel N. Kreizman's Involvement with FINRA Arbitration, Instrumental in Obtaining Victory Scarinci Hollenbeck is pleased to announce...