Today’s forecast: partly cloudy with a chance of law news: Will California lawmakers succeed in keeping fracking out of the state? (LXBN) Could President Obama’s proposed new cap on tax-favored retirement benefits do a lot more harm than good? (Osler) According to FINRA, employee social media privacy laws may conflict with securities regulations and threaten… Read more »
[Video: Robert Pickel of ISDA Discusses Dodd-Frank & the Global Picture for OTC Derivatives - MarkteReformsWiki] For your convenience, here’s a quick Friday roundup of recent advisories and alerts to do with various legal developments in the financial services realm. The updates cover a range of topics and, starting with the excellent video interview above,… Read more »
The Financial Industry Regulatory Authority (FINRA) is the largest regulator for all securities firms doing business in the United States, charged with protecting investors by maintaining the fairness of the U.S. capital markets. For your reference, here’s a roundup of recent commentary and analysis on FINRA rulemaking, from lawyers and law firms on JD Supra:… Read more »
We’re seeing growing interest in the Financial Industry Regulatory Authority’s new registration, examination and continuing education requirements for operations personnel of FINRA member broker-dealers (including senior management, supervisors, and other “back office” personnel with authority), which go into effect on October 17, 2011. We’ll continue to update this reading list as additional updates on the new rule come… Read more »
