On January 8, 2018, the Financial Industry Regulatory Authority (“FINRA”) published its 2018 Regulatory and Examination Priorities Letter to highlight areas of focus for FINRA’s upcoming examinations of registered broker-dealers. Significant areas ...

Seward & Kissel LLP


Broker Dealings: A Broker-Dealer Law Blog - 5 new articles


FINRA Announces its 2018 Regulatory and Examination Priorities

On January 8, 2018, the Financial Industry Regulatory Authority (“FINRA”) published its 2018 Regulatory and Examination Priorities Letter to...

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SEC STAFF RELEASES GUIDANCE FOR U.S. MARKET PARTICIPANTS REGARDING U.S. REGULATED ACTIVITIES AND COMPLIANCE WITH MIFID II

The U.S. regulatory framework has presented challenges to market participants that must also structure their practices to comply with the...

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FINRA Reviews Rules on Outside Business Activities and Private Securities Transactions

On May 15, 2017, FINRA issued Regulatory Notice 17-20 (RN-17-20) to request comment on the effectiveness and efficiency of its rules on outside...

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FINRA PROPOSES CHANGE TO THE PRIVATE PLACEMENT FILER FORM

On March 28, 2017, the Securities and Exchange Commission (“SEC”) issued a Notice of Filing and Immediate Effectiveness of a Proposed Rule...

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Client Alert: SEC Adopts T+2 Settlement Cycle for Securities Transactions

On March 22, 2017, the Securities and Exchange Commission (“SEC”) adopted an amendment to Rule 15c6-1(a) under the Securities Exchange Act of...

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