John R. Snyder

Recent Regulatory Actions Focused on Policies and Procedures Designed to Safeguard Material, Non-Public Information
W. Hardy Callcott,Jason Lane,John R. Snyder, July 25, 2011
Both the U.S. Securities and Exchange Commission (“SEC”) and FINRA have recently brought actions against broker-dealers alleging their failure to establish and enforce policies and procedures to prevent the misuse of material, non-public information (“MNPI”). These...

Recent Regulatory Actions Focused on Policies and Procedures Designed to Safeguard Material, Non Public-Information
W. Hardy Callcott,Jason Lane,John R. Snyder, July 22, 2011
Both the U.S. Securities and Exchange Commission (“SEC”) and FINRA have recently brought actions against broker-dealers alleging their failure to establish and enforce policies and procedures to prevent the misuse of material, non-public information (“MNPI”). These...

FINRA Submits Proposed Consolidated Supervision Rules to SEC
Gail Marshall,John R. Snyder, July 20, 2011
The Financial Industry Regulatory Authority (“FINRA”) submitted to the Securities and Exchange Commission (“SEC”) for its approval a set of proposed consolidated supervision rules. SR-FINRA 2011-028. This proposal seeks to consolidate NASD and NYSE supervision rules, codify...