Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This month,...more
4/29/2024
/ Arbitration ,
Conflicts of Interest ,
Dispute Resolution ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Influencers ,
Ponzi Scheme ,
Private Equity Funds ,
Regulation BI ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Social Media ,
Wire Fraud
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. We dedicate...more
1/26/2024
/ Anti-Money Laundering ,
Bank Secrecy Act ,
Books & Records ,
Broker-Dealer ,
Compliance ,
Conflicts of Interest ,
Consolidated Audit Trail ,
Cryptoassets ,
Cybersecurity ,
Digital Assets ,
Financial Industry Regulatory Authority (FINRA) ,
Over The Counter Drugs (OTC) ,
Regulation BI ,
Securities and Exchange Commission (SEC)
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This month,...more
12/7/2023
/ Arbitration ,
Dispute Resolution ,
Enforcement ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
Institutional Investors ,
Investment ,
Proposed Regulation ,
Regulation Best Interest ,
Regulation BI ,
Regulatory Agenda ,
Regulatory Requirements ,
Regulatory Violations ,
Securities and Exchange Commission (SEC)
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This month,...more
11/1/2023
/ Arbitration ,
Broker-Dealer ,
Constitutional Challenges ,
Dispute Resolution ,
Enforcement Actions ,
Expungement ,
Financial Industry Regulatory Authority (FINRA) ,
Fraud ,
Proposed Rules ,
Securities and Exchange Commission (SEC) ,
WhatsApp
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This month,...more
9/29/2023
/ Amicus Briefs ,
Arbitration ,
Artificial Intelligence ,
Compliance ,
Dispute Resolution ,
Enforcement Actions ,
Expungement ,
Financial Industry Regulatory Authority (FINRA) ,
Proprietary Trading ,
Regulation BI ,
Securities and Exchange Commission (SEC)
A three-judge panel for the US Court of Appeals for the Second Circuit reversed a district court’s class certification in the decade-long Arkansas Teacher Retirement System v. Goldman Sachs Group litigation regarding...more
8/18/2023
/ Appeals ,
Arkansas Teacher Retirement System v Goldman Sachs Group ,
Class Action ,
Class Certification ,
Corporate Governance ,
Environmental Social & Governance (ESG) ,
Ethics ,
Investors ,
Policies and Procedures ,
SCOTUS ,
Securities ,
Securities and Exchange Commission (SEC)
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This month,...more
7/28/2023
/ Administrative Law Judge (ALJ) ,
Appeals ,
Broker-Dealer ,
Dispute Resolution ,
Emoji ,
Enforcement ,
Financial Industry Regulatory Authority (FINRA) ,
Investment ,
Lucia v SEC ,
New Regulations ,
Regulation BI ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This...more
5/18/2023
/ Anti-Money Laundering ,
Cryptoassets ,
Digital Assets ,
Enforcement ,
Expungement ,
Financial Industry Regulatory Authority (FINRA) ,
Investment ,
Investment Advisers Act of 1940 ,
Securities and Exchange Commission (SEC) ,
SIFMA ,
Social Media
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This...more
11/1/2022
/ Anti-Money Laundering ,
Arbitration ,
Borrowers ,
Broker-Dealer ,
Dispute Resolution ,
Disqualification ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Registered Investment Advisors ,
Regulation Best Interest ,
REIT ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Unregistered Securities
Two Years Later, Regulation BI Remains a “Tremendous Priority” for FINRA -
June 30th marked two years since the implementation of Regulation Best Interest (“Reg BI”) and the client relationship summary or Form CRS. Firm...more
These days, it is commonplace for companies to commit to general concepts like “sustainability” or a “diverse workforce” in public statements and SEC disclosures. But when stock prices drop as a result of specific...more
A series of recent announcements by the SEC underscores the agency’s commitment—and allocation of resources—to its heightened focus on environmental, social and governance (“ESG”) issues. Significantly, on March 4, 2021, the...more