The Legal Intelligencer...SECURITIES FINRA • Arbitration • Choice of Law • Pennsylvania Arbitration Act ...
The final quarter of 2012 and the early weeks of 2013 have already brought about many changes at the Securities and Exchange Commission
Businesses are facing several new realities. Their customers and clients expect them to go beyond "traditional" forms of communication into social media
...to document compliance. The announcements by both the SEC and FINRA follow a March 19 risk alert by the SEC, in which the...
...August 2006 and August 2007. The Financial Industry Regulatory Authority (FINRA) offered Cheseldine a settlement proposal. Cheseldine had not yet accepted this offer...
...The Financial Industry Regulatory Authority (FINRA) recently implemented a new securities industry rule governing the obligation of broker...
The state Superior Court has ruled that Nasdaq OMX PHLX Inc. — formerly the Philadelphia Stock Exchange — has no authority to file suit against one of its members in an attempt to collect
...submitted by the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) with the goal of addressing extraordinary volatility in individual securities and the...
...in Connecticut. Davitt's presentation focused on the new FINRA rules and the effect on future claims. ...
...dismissing Stone's allegation that the lack of that information in her FINRA biography constituted evident partiality. The court was curt about Stone...
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