By: On Wednesday, at the annual Securities Regulation Institute conference in Coronado, California, Securities and Exchange Commission Chair Mary Jo White shared the agency’s growing concern about the aggressive promotion of private tech...
Representing financial professionals, financial institutions and investors in investment loss, employment and disclosure matters, and in regulatory investigations nationwide.
Month: January 2016
FINRA Releases Its Regulatory and Examinations Priorities for 2016
By: On January 5, 2016 the Financial Industry Regulatory Authority (“FINRA”) published its 11th annual Regulatory and Examination Priorities letter containing its areas of focus in 2016. Within the letter FINRA highlights three broad...
