Amy Natterson Kroll

SEC Staff Study Presents Congress with Options for Expanding the Private Right of Action under Section 10(B) Following Morrison v. National Australia Bank
Michael D. Blanchard,Amy Natterson Kroll,Christopher M. Wasil, April 20, 2012
Ruling on the extraterritorial scope of Section 10(b) of the 1934 Act, in 2010 the Supreme Court in Morrison v. National Australia Bank rejected the expansive “conduct and effects” tests, and limited the reach of Section 10(b) to instances in which the security at issue is sold in the...

FINRA Proposes Automated Process for Continuing Membership Application (Rule 1017) Filings
Margaret (Peggy) Blake,Amy Natterson Kroll, March 20, 2012
On March 2, 2012, the U.S. Securities and Exchange Commission (“SEC”) published for comment Notice of Filing of Proposed Rule Change to Amend NASD Rules 1012 (General Provisions) and 1017 (Application for Approval of Change in Ownership, Control, or Business Operations) to Adopt New...

FINRA Proposes Debt Research Rule: FINRA Regulatory Notice 12-09
Amy Natterson Kroll, February 24, 2012
FINRA has published Regulatory Notice 12-09 and Attachment A — the text of an unnumbered proposed debt research rule — for comment (together the “debt research rule proposal”). The proposed debt research rule tracks the current equity research rules (NASD Rule 2711 and NYSE...