Posts from May 2013.

The Financial Industry Regulatory Authority (FINRA) is considering new rules that would require additional reporting requirements for dark pool trades made by broker-dealers.  This announcement was made recently by Richard G. Ketchum, chief executive officer of FINRA, largely in response...

This week, LPL Financial LLC (“LPL”) was fined $7.5 million by The Financial Industry Regulatory Authority (“FINRA”) who cited LPL for thirty-five (35) separate email system failures.  FINRA asserted that these actions were a violation of the record keeping provisions...

It’s a phrase often heard in business, “know who speaks for your company.”  On its face, it sounds like a simple question, whose answer is easily ascertained.  However, all too often, a business finds itself committed to an unwanted agreement;...

Oftentimes the question arises as to whether or not the publisher of an investment newsletter is required to register as an investment adviser.  Section 202(a)(11) of the Investment Advisers Act of 1940 (the "Act") broadly defines an investment adviser as...

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