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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,...
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...
In first disciplinary action under Reg BI, FINRA fined broker $5,000, issued a six-month suspension from allegations broker engaged in excessive trading for outsized commissions. FINRA released Regulatory Notice 22-20 changing Sanctions Guidelines.
Title of Book: Modern Maritime Law and Practice in Nigeria Publisher: University of Lagos Press Year of Publication: 2020 Place of Publication: Lagos, Nigeria Author: Ajuzie Chizoba Osondu Pages: 473 (excluding Preliminary Pages) Number of Chapters: 12 Reviewer: Professor Paul C. Ananaba (SAN) The book, in 12 chapters, looks at topical issues in maritime regulations […]
The SEC on Oct. 7, 2022, reopened the comment period for 11 rule making proposals, one request for comment and eight Self-Regulatory Organization…