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FINRA reminded member firms that it will assess and collect a total of $8,309,000 to fund the annual budget of the Governmental Accounting Standards Board ("GASB"). FINRA will collect $2,077,250...

The SEC adopted new Rule 2273 that establishes an obligation on its members to deliver an educational communication in connection with member recruitment practices and account transfers.

FINRA advised firms using third-party recordkeeping service providers ("providers") to ensure that contracts comply with recent guidance issued by the SEC Division of Trading and Markets staff.

This legal article, however, expands in detail upon a number of issues which make franchising a tricky endeavor.

The new SEC "bad actor" provisions of Rule 506(d) become effective on September 23, 2013. Investment banks, which monitor FINRA compliance by their professionals, must ensure that their compliance systems capture all the potentially new requirements of Rule 506(d).

The new SEC "bad actor" provisions of Rule 506(d) become effective on September 23, 2013.

It has been over eight months since SEC-registered issuers began making mandatory disclosures of business activities in or with Iran.

On Thursday, October 3, 2013, Morrison & Foerster partner Anna Pinedo will participate in a complimentary Bloomberg Law Event entitled "Outlook on Securities—The JOBS Act".

Shareholder John Reichert took part as a featured panelist on the Milwaukee Business Journal's "Table of Experts: Protecting Against Fraud" roundtable.

MSRB named Mark T. Kim as its Deputy Executive Director and Chief Operating Officer.

On July 1, 2016, the Securities and Exchange Commission (the "SEC") approved a change to the Listing Rules of NASDAQ Stock Market LLC.

Arnold & Porter's Capital Markets team invites you to a webinar discussing recent SEC guidance applicable to public companies' reporting and compliance.

A press release by the National Venture Capital Association (NVCA) and Thomson Reuters reports a significant jump in the number of VC-backed IPOs during the second quarter of 2015.

Last week, the New York Stock Exchange (NYSE) Group announced that it had raised $136 billion from 397 transactions, including IPOs and follow-on financings, in 2015.

On March 31, 2025, members of the U.S. House of Representatives Committee on Financial Services sent a letter to Mark Uyeda, Acting Chairman of the U.S. Securities and Exchange Commission.

Non-U.S. broker-dealers conducting business with U.S. persons are subject to specific regulatory requirements. Our Topic Page on non-U.S. broker-dealers and Exchange Act Rule 15a-6 ("Exemption of Certain Foreign Brokers or Dealers") ...

Not much action in Congress this week as foreign policy issues dominated the discussion.