If enacted, the Unlocking Capital Act would establish two investment professional categories—private placement brokers and finders. The legislation would allow these professionals to engage in many activities that, due toContinue Reading Proposed Legislation Would Create a Tiered Exemption from Broker Registration
Leisel O. Greig ˘ is a Corporate Practice Law Clerk/JD based in Greenberg Traurig's Northern Virginia office.
˘ Not admitted to the practice of law.
On Jan. 10, 2023, the Financial Regulatory Authority (FINRA) released its 2023 Report on FINRA’s Examination and Risk Monitoring Program (“Report”) in which it identifies the year’s areas of examination…Continue Reading 2023 Report on FINRA’s Examination and Risk Monitoring Program
On Dec. 14, 2022, Gary Gensler, Chair of the U.S. Securities and Exchange Commission (SEC), released a statement announcing a proposal to establish an SEC rule setting forth a best…Continue Reading SEC Proposes to Establish a New Best Execution Standard
Last summer, the Financial Regulatory Authority (FINRA) proposed a rule change to its supervision rule (FINRA Rule 3110) to allow member firms to conduct remote inspections of some or all…Continue Reading FINRA Files Amendments to Proposed Rule Change That Will Allow Remote Inspections
The Financial Industry Regulatory Authority (FINRA) in November 2022 released a targeted exam letter pertaining to communications for crypto products and services. The relevant period for this exam is July…Continue Reading FINRA Targeting Crypto Asset Retail Communications