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In a Regulatory Notice, FINRA reminded firms that after April 12, 2019, alternative trading systems ("ATSs") and broker-dealers that subscribe to ATSs will be required to report to TRACE.

FINRA reminded member firms of the upcoming candidate nominations and elections process to fill new vacancies on its District Committees.

FINRA announced that it is publishing monthly information on block-sized trades effected on alternative trading systems ("ATS") available on its website.

FINRA updated its Transparency Services Participant Agreement ("FPA"). Starting on April 10, 2017, FINRA firms will be required to use the FINRA Firm Gateway to access, complete and submit their FPAs.

Fintech firm Artivest closed its merger with alternative asset manager Altegris. Artivest's digital alternative investment platform targets qualified investors and financial advisors seeking access ...

A securities firm agreed to settle FINRA charges for failure to (i) accurately report municipal security transactions to the Real-Time Transaction Reporting System ...

"Anxieties that the pandemic would shutter vulnerable startups haven't quite seemed to materialize at scale: Funding in the third quarter surged to a seven-quarter high.

In this #askasiliconvalleylawyer #videoblog, Silicon Valley lawyer Louis Lehot, founder of L2 Counsel, shares his advice for founders on how to issue founders' stock at formation, how to split it up, and how to vest it over time.

The FRB is required to provide notice of aggregate global indicator amounts under its rule on risk-based capital surcharges for GSIBs.

On Friday, January 10, Practising Law Institute will be hosting a "Free Friday" during which the briefing "Wisdom of Crowds: A Review of the Proposed Crowdfunding Regulatory Framework" will be accessible to everyone for free.

Partner Scott Toban presents a refresher course and in-depth analysis of each of the contract's sections.

STERIS Corporation closed its $1.9 billion acquisition of Synergy Health plc on November 2, 2015 after defeating an attempt by the FTC to block the transaction.

GPs' fund structuring choices are increasingly guided by needs that have become more pronounced year after year: internationalization of their LP base, opening up to individuals, liquidity requirements...

The guide serves as a useful reference regarding the registration requirements for funding portals, and the rules applicable to registered broker-dealers and funding portals that are participating as crowdfunding intermediaries.

William Tolin Gay (Of Counsel-Los Angeles, CA) represented Four Corners, Inc., a publicly traded Nevada corporation...

January 18, 2017, the SEC announced that General Counsel Anne K. Small will leave the agency later this month.

BlackRock Inc. agreed to pay a $340,000 penalty to settle SEC charges alleging violations of the whistleblower provisions of the Dodd-Frank Act by entering into separation agreements that required employees to waive the ability to obtain whistleblower awards.