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Category: Compliance

Compliance

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Whistleblowers Need Lawyers

There have been many developments in securities whistleblower rulings over the years, but none as compelling as Justice Ginsburg's opinion…

Rule 8210 – How You Respond Makes a Difference

For FINRA member firms, and employees of FINRA firms (even those who are not registered) FINRA Rule 8210 (Provision of…

How Long Does an SEC Investigation Take?

One of the first questions my clients ask when faced with a subpoena from the SEC is how long is…

Recent FINRA Rule Filings

When FINRA decides to change or modify any of its rules, or to add a new rule, it is required…

Tips for Responding to an SEC Subpoena

Being forced to participate in an SEC investigation, even as a witness, can be a harrowing experience, and this is…

Responding to an 8210 Request

By Mark J. Astarita, Esq. FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books) is…

FINRA Hearing Panel Dismisses Charges against Registered Rep.

In a rare decision, a FINRA hearing panel dismissed all charges against a registered representative who was accused of falsifying…

Overseas Stock Manipulator Settles SEC Charges

The Securities and Exchange Commission today announced that an overseas stock manipulator has agreed to pay nearly $800,000 and be…

Wells Fargo Huge Data Breach – Lessons for Firms and Their Lawyers

Wells Fargo Huge Data Breach - Lessons for Firms and Their Lawyers Multiple news sources are now reporting that Wells…

Markups, Markdowns

In recent years, markups have become a growing concern for regulators, and brokerage firm markup policies and procedures have come…