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David C. Boch Document Search Results (11) Show: results per page Sort by:  | FINRA Amends Rules to Provide That Whistleblower Disputes are No Longer Subject to Mandatory Arbitration
David C. Boch, W. Hardy Callcott, Jason S. Pinney; Bingham McCutchen LLP;
Legal Alert/Article May 24, 2012, previously published on May 22, 2012 The Financial Industry Regulatory Authority (“FINRA”) is amending Rules 13201 and 2263 to provide that whistleblower disputes are no longer subject to mandatory arbitration. This change aligns the rules with the provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act...
| | FINRA Seeks Comment on Proposed "In re Expungement Rule" Applicable to Unnamed Parties in Arbitration Proceedings
David C. Boch, W. Hardy Callcott, Paul M. Tyrrell; Bingham McCutchen LLP;
Legal Alert/Article April 18, 2012, previously published on April 16, 2012 FINRA recently issued a Regulatory Notice requesting comment on a proposed new expungement procedure for persons not named in a customer-initiated arbitration. As noted in RN 12-18, in 2009, the SEC approved amendments to Forms U4 and U5 to, among other things, require the reporting of allegations...
| | SEC and CFTC Issue Joint Proposed Rules and Guidelines to Address Identity Theft
David C. Boch, W. Hardy Callcott, Nancy M. Persechino; Bingham McCutchen LLP;
Legal Alert/Article March 14, 2012, previously published on March 12, 2012 On Feb. 28, 2012, the Securities and Exchange Commission (“SEC”) and the Commodity Futures Trading Commission (“CFTC”) jointly issued proposed rules and guidelines to implement new statutory provisions mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act...
| | First Circuit Limits Breadth of Whistleblower Protection Provision Under Sarbanes-Oxley Act of 2002
David C. Boch, Elizabeth A. Marino; Bingham McCutchen LLP;
Legal Alert/Article March 8, 2012, previously published on March 6, 2012 The United States Court of Appeals for the First Circuit (“First Circuit”) recently held that Section 806 (the “whistleblower protection provisions”) of Sarbanes-Oxley Act of 2002 (“SOX”) covers only employees of public companies and not employees of private...
| | FINRA Requests Comment on Ways to Facilitate and Increase Investor Use of BrokerCheck Information
David C. Boch, Robert A. Buhlman, T. Peter R. Pound; Bingham McCutchen LLP;
Legal Alert/Article March 8, 2012, previously published on March 7, 2012 FINRA published Regulatory Notice 12-10 (the “Notice”) requesting comments on issues that may drastically alter BrokerCheck, including whether BrokerCheck information should be made available for commercial use by for-profit companies, whether BrokerCheck information should be presented...
| | FINRA Amends Proposal Requiring Filings for Private Placements
David C. Boch, W. Hardy Callcott, James C. Magid, Michael R. Weissmann; Bingham McCutchen LLP;
Legal Alert/Article February 2, 2012, previously published on February 1, 2012 On January 20, 2012, FINRA filed with the SEC a partial amendment to proposed FINRA Rule 5123 (Private Placement of Securities). This proposed rule would require broker-dealers to make filings with FINRA concerning most private placements they sell to investors. The most recent partial amendment...
| | OCIE’s Social Media Alert: Proceed With Caution, Maintain Required Records, and Adopt and Implement Robust Policies and Procedures
David C. Boch, W. Hardy Callcott, Jeffrey O. Himstreet, Paul M. Tyrrell, Michael R. Weissmann; Bingham McCutchen LLP;
Legal Alert/Article January 13, 2012, previously published on January 10, 2012 On Jan. 4, 2012, the staff of the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission issued a National Examination Risk Alert concerning investment advisers’ use of social media. As with the previous adoption of email, Internet websites and...
| | FINRA Revises Proposed Communications With the Public Rule Yet Again—SEC Seeks Further Comment
David C. Boch, W. Hardy Callcott, Paul M. Tyrrell; Bingham McCutchen LLP;
Legal Alert/Article January 4, 2012, previously published on January 3, 2012 The Financial Industry Regulatory Authority’s (“FINRA”) struggle to obtain the U.S. Securities and Exchange Commission’s (“SEC”) approval of its proposed revisions to its Communications with the Public Rules continues. On Dec. 22, 2011, FINRA filed with the SEC...
| | FINRA Proposes Clearing Firm Books and Records Requirements to Facilitate Orderly Transition In The Event Of Firm Liquidation
Matthew C. Applebaum, David C. Boch, W. Hardy Callcott, Roger P. Joseph, Edwin E. Smith, Neal E. Sullivan, Michael R. Weissmann; Bingham McCutchen LLP;
Legal Alert/Article November 15, 2011, previously published on November 11, 2011 On Oct. 21, 2011, the Financial Industry Regulatory Authority (FINRA) proposed a new rule (Rule 4516) that would require carrying and clearing member firms to, among other things, maintain and keep current certain records in a specifically designated central location. The Proposed Rule is designed...
| | FINRA Issues Further Clarification on Use of Social Media
David C. Boch, W. Hardy Callcott, Paul M. Tyrrell, Michael R. Weissmann; Bingham McCutchen LLP;
Legal Alert/Article August 31, 2011, previously published on August 25, 2011 FINRA has issued a Regulatory Notice 11-39 (the “Notice”), in which it offers additional guidance on the use of social media. The Notice re-emphasizes the guidance FINRA issued in Regulatory Notice 10-06 (“Notice-10-06”), its first foray into issues relating to use of social...
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