Securities and Finance

Scarinci Hollenbeck’s Securities and Finance practice group regularly provides content on securities offerings, corporate governance and disclosure matters. Our content provides insight on public and private securities offerings and corporate transactions, including IPOs, secondary offerings, PIPE and convertible debt transactions, exchange offerings, tender offers, and mergers and acquisition transactions.

Client Alert

Library

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.

1-12 of 94

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

When Should Investors Opt Out of Securities Class Actions?

What to Do Upon Receiving a Class-Action Notice It is important to understand what your options are and what action may be required. In many cases, potential class members do not have to take any further action to reap the benefits of a class action settlement. However, in some cases, you may have to opt […]

Author: Dan Brecher

February 5, 2024

Securities

SEC Brings Its First NFT Enforcement Action

The Securities and Exchange Commission (SEC) recently brought its first enforcement action involving non-fungible tokens or NFTs. The charges signal that the SEC is likely ramping up its efforts to police the marketplace. Explosion of NFT Marketplace The popularity of NFTs has skyrocketed in recent years. NFTs are generally defined as unique digital identifiers that […]

Author: Jon-Jorge Aras

August 29, 2023

SEC Proposes Regulation Targeting AI Advising

The Securities and Exchange Commission (SEC) is cracking down on using artificial intelligence in financial advising. The agency recently proposed regulations. These regulations would necessitate broker-dealers and investment advisers to address conflicts of interest. These conflicts are associated with their use of predictive data analytics and similar technologies in interactions with investors. “We live in […]

Author: Jon-Jorge Aras

July 30, 2023

Financial Regulations

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

What Is a Security? The Answer Matters for Businesses and Investors

Whether you are a business raising capital or an investor buying securities, understanding the definition of a security is important... Every offer and sale of a security is required to be registered with the Securities and Exchange Commission (SEC), unless subject to an exemption from registration under the Securities Act of 1933. So, whether you […]

Author: Kenneth C. Oh

May 10, 2022

Securities

Year in Review: Securities Law Trends in 2021

In the past year, we discussed a number of ways that startups and other small businesses can raise the capital needed to help them grow while maintaining compliance with federal securities regulations... In 2021, we discussed a number of ways that startups and other small businesses can raise the capital needed to help them grow while maintaining […]

Author: Scarinci Hollenbeck, LLC

January 19, 2022

Will SEC Report on GameStop Stock Frenzy Lead to Regulatory Changes?

The SEC recently published its much-anticipated report on the January 2021 GameStop (GameStop or GME) stock trading frenzy and the larger meme-stock phenomenon... The Securities and Exchange Commission (SEC) recently published its much-anticipated report on the January 2021 GameStop (GameStop or GME) stock trading frenzy and the larger meme-stock phenomenon. The report, entitled Staff Report […]

Author: Scarinci Hollenbeck, LLC

November 11, 2021

SEC Brings First Enforcement Action Involving Crowdfunding Regulations

Crowdfunding can be an effective way to raise funds for your business... Crowdfunding can be an effective way to raise funds for your business. However, as highlighted in a recent enforcement action brought by the Securities and Exchange Commission (SEC), you have to play by the rules. According to the SEC, its enforcement action against […]

Author: Michael J. Sheppeard

October 26, 2021

crowdfunding

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

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: Scarinci Hollenbeck, LLC

June 11, 2018

Arbitration

Mickelson Case Reflects Insider Trading in the Wake of Newman

What does the Mickelson case reveal about insider trading? Professional golfer Phil Mickelson was recently named in an insider trading case involving sports gambler William Walters. Although Phil is not facing any charges in the Mickelson case, he did agree to pay full disgorgement of his trading profits totaling $931,738.12. As detailed in the insider-trading complaint filed […]

Author: Dan Brecher

May 30, 2016

First
Previous
1(current)
2
3
4
5
6
7
8
Next
Last

Sign up to get the latest from our attorneys!

Explore What Matters Most to You.

Consider subscribing to our Firm Insights mailing list by clicking the button below so you can keep up to date with the firm`s latest articles covering various legal topics.

Stay informed and inspired with the latest updates, insights, and events from Scarinci Hollenbeck. Our resource library provides valuable content across a range of categories to keep you connected and ahead of the curve.