Month: May 2017

FINRA Issues Guidance on SEC Approved Rules to Prevent Exploitation of Senior Citizens

The Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 17-11 offering guidance on new SEC guidelines and approvals, including the adoption of FINRA Rule 2165 (Financial Exploitation of Specified Adults). This new rule permits members to place temporary holds on transfers of monies or account holdings from the accounts of specified customers where a broker would […]

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FINRA Warns Brokers on Social Media and Digital Communications

In Regulatory Notice 17-18, the Financial Industry Regulatory Authority (FINRA) issued addressed the obligations of FINRA member firms and persons when utilizing social media and digital communications. The Regulatory Notice contains comprehensive recordkeeping advice for digital communication content, also issuing warnings and guidance regarding third party posts and hyperlinks to third party sites. We offer a […]

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Trends in Supervisory and Clearing Firm Liability

On April 6, 2017, Tim O’Connor presented at the 2017 Securities Arbitration and Mediation Continuing Legal Education Presentation of the New York State Bar Association at the New York Society of Security Analysts (NYSSA), 1540 Broadway, New York, New York.  At this presentation, Mr. O’Connor presented with co-author, Paul C. Carroll, former limited partner with […]

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