Amanda Oliveira

Amanda Oliveira

Eversheds Sutherland (US) LLP

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Latest Posts › Financial Industry Regulatory Authority (FINRA)

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Huckleberry FINRA and Life on the MissiSECippi: Mark Twain, FINRA, SEC, CFTC and NASAA Enforcement Actions (November and December...

Samuel Langhorne Clemens, d/b/a Mark Twain, was the author of many outstanding (and often humorous) books and short stories that had good guys (e.g., Huck, Jim and Tom), bad guys (e.g., Pap Finn; the Duke and the Dauphin, who...more

2/1/2022  /  CFTC , Enforcement Actions , Enforcement Statistics , Financial Industry Regulatory Authority (FINRA) , NASAA , Securities and Exchange Commission (SEC)

FINRA’s diversity and inclusion efforts

FINRA has recently taken steps to advance diversity and inclusion in the broker-dealer industry. Regulatory Notice 21-17 - On April 29, 2021, FINRA issued Regulatory Notice 21-17, seeking comments on supporting...more

5/27/2021  /  Broker-Dealer , Corporate Governance , Disparate Impact , Diversity and Inclusion Standards (D&I) , Environmental Social & Governance (ESG) , Executive Compensation , Financial Industry Regulatory Authority (FINRA) , Financial Reporting , Reporting Requirements , Securities and Exchange Commission (SEC)
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