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September 29, 2023
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement,...
September 18, 2023
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds.
August 25, 2023
After seven years of extending the implementation date of the original rulemaking adopted in 2016 for Covered Agency Transactions, the SEC approved FINRA's amendments on July 27, 2023,...
March 18, 2023
FINRA shared update on Social Media Influencers, Customer Acquisition and Related Information Protection project. FINRA proposed SEC rule change to delay implementation date for Rule 4210 amendments. SEC published examination priorities for 2023.
March 13, 2023
FINRA recently filed a proposed rule change with the SEC to yet again delay the implementation date to October 25, 2023, for amendments to Rule 4210 (Margin Requirements) for Covered...
March 1, 2023
The latest delay for the FINRA Rule 4210 amendments regarding covered agency transactions —originally approved in the summer of 2016—should serve as a cautionary tale regarding the...