Posts from October 2012.

This week the president of FINRA’s office of dispute resolution, Linda Feinberg, announced the SRO will open its arbitration forum to registered investment advisers. The statement was made at the annual meeting of the Public Investors Arbitration Bar Association where...

Last month FINRA announced SEC approval of new FINRA Rule 5123. The Rule requires each FINRA member firm selling securities in a private placement to file a copy of any private placement memorandum, term sheet or other offering documents with...

In a news conference this week, North American Securities Administrators Association ("NASAA") President and Arkansas Securities Commissioner Heath Abshure sharply criticized the SEC's proposed rule allowing marketing of private offerings. Mr. Abshure, who was joined in the conference by Cristina...

The California Court of Appeal recently struck a post-employment non-competition provision in an employment agreement which was part of a broader acquisition deal. The opinion, Fillpoint, LLC v. Mass (August 24, 2012), demonstrates California's strong public policy in favor of...

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