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Recordkeeping Requirements › Proposed Amendments › Enforcement Actions

Eversheds Sutherland (US) LLP

FINRA proposes revisions to SEC-mandated heightened supervision plans for off-channel communications

Eversheds Sutherland (US) LLP on

On May 8, the Financial Industry Regulatory Authority (FINRA) published a blog announcing that it intends to modify the heightened supervision plans (HSPs) imposed as part of certain broker-dealers’ settlements with the US...more

Bradley Arant Boult Cummings LLP

Mississippi Half-Step Uptown Toodeloo: Department of Health Proposes Robust Revisions to Medical Cannabis Regulations

Bradley Arant Boult Cummings LLP on

Those long-awaited proposed revisions to the Mississippi Department of Health’s medical cannabis program regulations dropped last Thursday afternoon. Thankfully, the department released a red-lined version, highlighting...more

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