Publications
FINRA Announces Effective Date for New Procedures for Expungement Requests
On August 11, 2023, FINRA published Regulatory Notice 23-12, which offers guidance on recent rule amendments to FINRA Rules 12800 and 12805 related to the expungement of customer dispute information from BrokerCheck.
Legal Update for Securities Litigation – August 16, 2023,
Pennsylvania Department of Banking and Securities Issues Reminder
On Tuesday, July 28, 2020, the Pennsylvania Department of Banking and Securiti
The material in this law alert has been prepared for our readers by Marshall Dennehey Warner Coleman & Goggin.
FINRA’s Thoughts and Guidance on Working Remotely and Supervision of FINRA Licensed Registered Representatives Working Remotely
With the COVID-19 impacting many aspects of our American way of life for the past several months, many
The material in this law alert has bee
FINRA and the SEC Respond to COVID-19
As New York City became the epicenter of the United States coronavirus outbreak in March, financial mar
The material in this law alert has been prepared for our readers by Marshall Dennehey Warner Col
Legal Updates for Securities - September 2019
Key Issues for Regulatory Examinations for State-Registered Advisers
Prepared by John P. Quinn, Esq.
The material in this law alert has been prepared for our readers by Marshall Dennehey Warner Coleman & Goggin.
Legal Updates for Securities - June 5, 2019
SEC Adopts a New Standard for Broker-Dealer Conduct and Clarifies the Standard for Incidental Investment Advice
by John P. Quinn, Esq.
Legal Updates for Securities - June 5, 2019
SEC Adopts Interpretation of the Fiduciary Duty Standard and New Disclosure Form for Registered Investment Advisers
by John P. Quinn, Esq.