National Law JournalMary Schapiro, the chairwoman of the U.S. Securities and Exchange Commission, has announced that she will be stepping down from her post and leaving the agency on December 14
National Law Journal
National Law Journal
...original determination including sanctions was made by the Financial Industry Regulatory Authority ("FINRA"). A reasonably full description of the underlying events and evidence is required...
National Law Journal
...that a group of investors brought before the Financial Industry Regulatory Authority ("FINRA").*fn1 The investors allege...
...was "very uncommon for either, let alone both [the SE Cand FINRA] to jump into an investigation related to an IPO." ...
Deprecated The American Lawyer
Deprecated The American Lawyer
... In June 2008, Wachovia initiated a Financial Industry Regulatory Authority (FINRA) arbitration proceeding against four former employees, Frank Brand, Stephen Jones, Marvin Slaughter...
Deprecated The American Lawyer
...by filing a Statement of Claim with the Financial Industry Regulatory Authority ("FINRA")*fn2 against four former...
Deprecated The American Lawyer
...the liens on registration forms he was required to file with 35 FINRA and that the information regarding the liens was material. We also hold...
Type what you're looking for into the search box and hit enter or click the search button. Law.com Search will search for relevant content and will display the results below. Often you'll find just what you're looking for right away.
Here are a few tips for finding what you need:
Too many results? Refine your search using the filters on the left side of the page. You can select a date range, a specific source, the type of content, or a topic. The available filters will depend on what is present in the content, so the list will change in context to the search results you have found.
You can also search within your search results. Just underneath the search box, click "Search within results" to add one more term to the the words and filters you've already set up.
Too few results? Law.com Search will always show you what words you searched on and what filters you've used under "Your Search" at the top of the page. Try taking off some of the filters you've set up if you need to expand the results.
