Lewitas Hyman PC
  • ABOUT
  • ATTORNEYS
    • Bruce Lewitas
    • Douglas W. Hyman
    • Daniel Hildebrand
  • FINANCIAL PROFESSIONALS
    • Broker Protocol FAQs
    • CFP Board Investigations
    • Employment Counsel
    • Expungement Claims
    • FINRA, SEC and State Regulatory Investigations
    • FINRA Rule 8210 FAQs
    • Firm Transitions
    • Form U5 Claims FAQs
    • Partnership Disputes
    • Promissory and Forgivable Notes
    • Wrongful Discharge
  • FINANCIAL INSTITUTIONS
    • Financial Services Arbitration and Litigation
    • Regulatory Counseling and Investigations
    • RIA Formation and Compliance Counsel
    • Securities and Commercial Litigation
  • INVESTORS
    • Breach of Fiduciary and Other Duties
    • Financial Advisor Misconduct
    • Investment Loss FAQs
    • Retirement Planning Negligence
    • Securities and Investment Fraud
    • Unauthorized Trading
  • BLOG
  • CONTACT

Discuss Your Matter With An Attorney
(888) 655-6002

Lewitas Hyman PC
Based in Chicago. Nationwide Representation in Securities Law Matters.

Contact Us:  (888) 655-6002

  • ABOUT
  • ATTORNEYS
    • Bruce Lewitas
    • Douglas W. Hyman
    • Daniel Hildebrand
  • FINANCIAL PROFESSIONALS
    • Broker Protocol FAQs
    • CFP Board Investigations
    • Employment Counsel
    • Expungement Claims
    • FINRA, SEC and State Regulatory Investigations
    • FINRA Rule 8210 FAQs
    • Firm Transitions
    • Form U5 Claims FAQs
    • Partnership Disputes
    • Promissory and Forgivable Notes
    • Wrongful Discharge
  • FINANCIAL INSTITUTIONS
    • Financial Services Arbitration and Litigation
    • Regulatory Counseling and Investigations
    • RIA Formation and Compliance Counsel
    • Securities and Commercial Litigation
  • INVESTORS
    • Breach of Fiduciary and Other Duties
    • Financial Advisor Misconduct
    • Investment Loss FAQs
    • Retirement Planning Negligence
    • Securities and Investment Fraud
    • Unauthorized Trading
  • BLOG
  • CONTACT

FINRA Seeks Comments on Proposed Rule Requiring Delivery of Educational Communications to Customers of a Transferring Representative

On Behalf of Lewitas Hyman PC | Jun 20, 2015 | Financial News, FINRA Compliance

On May 27, 2015, FINRA released Regulatory Notice 15-19 (“RN 15-19”) seeking comment on a proposed rule which would require recruiting firms to provide educational communications to retail customers who intend to transfer their assets to a registered representative’s...

FINRA Proposes to Make It Easier to Communicate with the Public

On Behalf of Lewitas Hyman PC | Jun 10, 2015 | Financial News, FINRA Compliance

FINRA has proposed several amendments to the public communications rules[1] that are designed to ease some of the regulatory burdens associated with these rules, while not sacrificing underlying investor protections.  The proposals emerged from a reassessment FINRA...

Recent Posts

  • SEC updates list of firms using misleading information to solicit investors
  • Former Goldman Sachs banker sentenced to 10 years in bribery, embezzlement case
  • CFP Board imposes interim suspension on Pennsylvania financial advisor
  • FINRA fines Webull Financial $3 million over approval of customers for options trading
  • Virginia financial advisor charged with defrauding investors and clients

Archives

  • March 2023
  • February 2023
  • January 2023
  • December 2022
  • November 2022
  • October 2022
  • September 2022
  • August 2022
  • July 2022
  • June 2022
  • May 2022
  • April 2022
  • March 2022
  • February 2022
  • January 2022
  • December 2021
  • November 2021
  • October 2021
  • September 2021
  • August 2021
  • February 2021
  • August 2020
  • May 2020
  • April 2020
  • March 2020
  • August 2017
  • July 2017
  • June 2017
  • March 2017
  • February 2017
  • January 2017
  • December 2016
  • November 2016
  • October 2016
  • July 2016
  • March 2016
  • February 2016
  • January 2016
  • October 2015
  • July 2015
  • June 2015
  • May 2015
  • April 2015
  • March 2015
  • February 2015
  • January 2015
  • December 2014
  • October 2014
  • September 2014
  • August 2014
  • July 2014
  • June 2014
  • May 2014
  • April 2014

Categories

  • Broker Misconduct
  • CFP Board
  • Expungement Claims
  • Financial Advisor Misconduct
  • Financial News
  • FINRA Compliance
  • Firm News
  • Firm Transition
  • Insider Trading
  • Investment Loss
  • Market Volatility
  • Regulatory Investigations
  • Securities and Compliance

RSS Feed

Subscribe To This Blog’s Feed

FindLaw Network

Contact Our Firm 

Superior Results
—
Individual Attention

Chicago Office

161 N Clark St
Suite 1600
Chicago, IL 60601

Chicago Law Office

Contact Us

Phone: (888) 655-6002

Fax: (312) 281-9019

  • Follow
  • Follow

© 2023 Lewitas Hyman PC • All Rights Reserved

Disclaimer | Site Map | Privacy Policy | Business Development Solutions by FindLaw, part of Thomson Reuters