Search Results for:
Michael R Weissmann
(31)
ARTICLES(31)
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FINRA Solicits Comment on Proposed Rule to Implement CARDS
- November 10, 2014
- LEGAL ALERTS/ARTICLES
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Microcap Securities: OCIE Issues Risk Alert Related to Broker-Dealer Controls Regarding Customer Sales
- November 10, 2014
- LEGAL ALERTS/ARTICLES
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FINRA Requests Comments on Revised Proposal to Adopt Rule Mandating Quarterly Delivery of Customer Account Statements
- October 06, 2014
- LEGAL ALERTS/ARTICLES
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Five Takeaways About Cybersecurity From the OCIE Cybersecurity Risk Alert
- April 25, 2014
- LEGAL ALERTS/ARTICLES
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FINRA Initiates Retrospective Rule Review Heavy on Process, Vague on End Game
- April 11, 2014
- LEGAL ALERTS/ARTICLES
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SEC Issues No-Action Letter Regarding Broker-Dealer Registration Status of M&A Brokers
- February 11, 2014
- LEGAL ALERTS/ARTICLES
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Regulators Issue Annual Priorities Letters for Broker-Dealers
- January 30, 2014
- LEGAL ALERTS/ARTICLES
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FINRA Proposes a New Method to Obtain Transaction Information: Comprehensive Automated Risk Data System
- January 07, 2014
- LEGAL ALERTS/ARTICLES
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New Suitability Guidance Provides Insight Into FINRA’s Areas of Focus and Preferences
- October 09, 2013
- LEGAL ALERTS/ARTICLES
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SEC Issues Guidance on Investment Advisers’ Business Continuity Plans
- September 16, 2013
- LEGAL ALERTS/ARTICLES
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As the Summer Wound Down ... FINRA Amended the “Publicity Rule” (Rule 8313) and Discussed Best Practices in Business Continuity Plans
- September 05, 2013
- LEGAL ALERTS/ARTICLES
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FINRA Warns Broker-Dealers About Advertising Retail Brokerage Accounts and Individual Retirement Accounts As “Free” or “No-fee”
- July 29, 2013
- LEGAL ALERTS/ARTICLES
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FINRA Submits to SEC Consolidated Supervision Rule
- July 03, 2013
- LEGAL ALERTS/ARTICLES
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FINRA Issues New Guidance for Broker-Dealer Communications Regarding Real Estate Investments
- May 22, 2013
- LEGAL ALERTS/ARTICLES
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Ninth Circuit Holds That SEC Rules and Related FINRA Rules Trump State Law
- May 09, 2013
- LEGAL ALERTS/ARTICLES
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SEC Trading and Markets Chief Counsel Comments on Private Fund Sales and Marketing
- April 11, 2013
- LEGAL ALERTS/ARTICLES
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FINRA Issues Guidance Narrowing the Scope of its New Suitability Rule
- December 22, 2012
- LEGAL ALERTS/ARTICLES
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SEC Approves FINRA’s Rule Requiring Filing of Private Placements
- July 13, 2012
- LEGAL ALERTS/ARTICLES
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FINRA’s New Rules on Communications with the Public Are Finally Approved
- July 05, 2012
- LEGAL ALERTS/ARTICLES
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Massachusetts Social Media Guidance: Interpretive Assistance for State-Registered Advisers Could Assist All in Grappling With Regulatory and Compliance Issues
- February 20, 2012
- LEGAL ALERTS/ARTICLES
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FINRA Amends Proposal Requiring Filings for Private Placements
- February 02, 2012
- LEGAL ALERTS/ARTICLES
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OCIE’s Social Media Alert: Proceed With Caution, Maintain Required Records, and Adopt and Implement Robust Policies and Procedures
- January 13, 2012
- LEGAL ALERTS/ARTICLES
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One Step Closer To a New Advertising Rule: FINRA Revises Proposed Rule, SEC Announces Proceedings on Whether To Approve
- November 18, 2011
- LEGAL ALERTS/ARTICLES
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FINRA Proposes Clearing Firm Books and Records Requirements to Facilitate Orderly Transition In The Event Of Firm Liquidation
- November 15, 2011
- LEGAL ALERTS/ARTICLES
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FINRA Issues Further Clarification on Use of Social Media
- August 31, 2011
- LEGAL ALERTS/ARTICLES
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SEC Publishes FINRA Proposal for Complete Rewrite of Communications With the Public Rules
- August 05, 2011
- LEGAL ALERTS/ARTICLES
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FINRA Sets Effective Date for Broker Dealer Operations Professional Rule
- August 02, 2011
- LEGAL ALERTS/ARTICLES
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SEC Approves Operations Professional Rule — Certain Operations Professionals Will Be Required to Register With FINRA
- July 05, 2011
- LEGAL ALERTS/ARTICLES
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FINRA Requests Comment on Proposed Rule Regarding Supervision of Third-Party Service Providers
- April 13, 2011
- LEGAL ALERTS/ARTICLES
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FINRA Files Operations Professional Registration Rule Proposal With the SEC
- March 23, 2011
- LEGAL ALERTS/ARTICLES