By by Brian T. Daly, Julian Rainero, David S. Sieradzki, William J. Barbera and Derek N. Lacarrubba of Schulte Roth & Zabel LLP On April 7, 2016, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority’s proposed amendments[1] to NASD rule 1032 (Categories of Representative Registration).[2] These amendments will require FINRA members […] Read more »
How Sustainable is Your Information or Insight Advantage?
by Deborah Prutzman, The Regulatory Fundamentals Group The ability to obtain information that leads to insights concerning market trends is frequently considered the mark of a savvy investor. However, as we noted last July, many methods of acquiring information are coming under increased scrutiny. Regulators and the public may deem even entrenched practices unfair. As […] Read more »