SEC Issues Report on Definition of Accredited Investor

Stockbroker Law - Tuesday, March 08, 2016
SEC Issues Report on Definition of Accredited Investor

On December 18, 2015 the United States Securities and Exchange Commission issued a Report on the Review of the Definition of “Accredited Inv ..

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Regulation 200 and Life Insurance Death Benefits

Stockbroker Law - Tuesday, March 01, 2016
Regulation 200 and Life Insurance Death Benefits

An investigation by the New York State Department of Financial Services resulted in the return of more than $1,000,000,000 of unpaid life insuranc ..

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FINRA Issues Guidance on Best Execution Obligations

Stockbroker Law - Tuesday, February 23, 2016
FINRA Issues Guidance on Best Execution Obligations

In FINRA Regulatory Notice 15-46 (https://www.finra.org/sites/default/files/notice_doc_file_ref/Notice_Regulatory_15-46.pdf) the Financial Industr ..

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FINRA Issues Guidance on Interpretation of FINRA’s Margin Rule

Stockbroker Law - Wednesday, February 17, 2016
FINRA Issues Guidance on Interpretation of FINRA’s Margin Rule

In November of 2015 FINRA Regulation issued further guidance regarding FINRA Rule 4210 (http://finra.complinet.com/en/display/display_main.html?rb ..

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SEC Issues Investor Bulliten on Variable Annuities

Stockbroker Law - Tuesday, February 09, 2016
SEC Issues Investor Bulliten on Variable Annuities

On November 5, 2015 the Securities and Exchange Commission issued an Investor Bulletin (https://www.sec.gov/investor/alerts/ib_var_annuities.pdf)  ..

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