News & Analysis as of

Registration New Regulations

Awatif Mohammad Shoqi Advocates & Legal...

New Regulations on Driving License and Vehicle Registration

Obtaining a driver’s license is a rite of passage for every individual. It is a symbol of coming of age for teenagers and young adults, as well as the first significant step that one takes after moving to a new country. The...more

Bracewell LLP

SEC Notches Win in Cryptocurrency Registration Battle

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Scoring a victory for the Securities and Exchange Commission in its efforts to qualify digital tokens as securities, a New Hampshire federal court ruled this week that tokens sold by LBRY Inc., known as LBC, are securities...more

Vicente LLP

Hemp States to Watch in 2022: California

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Continuing our look over the hemp horizon and keeping a close eye on key states to watch in 2022, California is hoping that this will be the year that its hemp industry emerges from the shadows and takes its place among the...more

Cranfill Sumner LLP

FAA issues long awaited Small Unmanned Aircraft Systems Regulations

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New Law Goes into Effect August 29, 2016 - After many months, the Federal Aviation Administration (FAA) has issued regulations towards integrating Unmanned Aerial Systems (UAS, also called Drones) into the national...more

Proskauer Rose LLP

Broker-Dealer Beat - June 2015: Foreign Finders

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Foreign Finders - The longstanding rules on foreign finders – when a brokerage firm can pay transaction-based compensation to a non-registered foreign finder – will be incorporated into new FINRA Rule 2040, effective...more

Proskauer - Corporate Defense and Disputes

FINRA’s New Background Investigation Rule Will Likely Increase Firms’ Costs and Potentially Increases Exposure for Firms in...

Recently, the SEC approved FINRA’s proposed new Rule 3110(e) relating to background investigations of registered persons. FINRA Rule 3110(e), which replaces NASD Rule 3010(e) and goes into effect on July 1, 2015, streamlines...more

Proskauer Rose LLP

Broker-Dealer Beat - January 2015

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New FINRA Rule 3110(e) streamlines and clarifies members' obligations relating to background investigations of registered persons and adds a requirement to adopt written procedures to verify the accuracy and completeness of...more

Katten Muchin Rosenman LLP

NFA Adopts Fee for Registration Non-Disclosures

National Futures Association (NFA) has adopted a rule requiring firms and individuals to pay $1,000 fines for failing to disclose disciplinary matters on registration applications or failing to update existing registration...more

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