FINRA has announced that the SEC has approved a revised Discovery Guide (the “Guide”) applicable to customer cases in FINRA securities arbitration cases . These changes, which will apply to claims instituted after May […]
In December 2010, FINRA consolidated NASD Rule 3030 and NYSE Rule 346 under the new FINRA Rule 3270, effecting significant revisions to the supervisory requirements of Outside Business Activities which includes broker-dealers’ review of all […]
Pursuant to Regulation S-P, financial institutions are required to adopt written policies and procedures to safeguard nonpublic personal customer information. FINRA advises its members that procedures must be reasonably designed to: ensure the security and […]
To view the publication, please click Enforcement Practice: Limiting “Obey the Law” Injunctions. For more information, please contact Burt Wiand at firstname.lastname@example.org.
As broker/dealers continue to expand their inventories of products and look for new sources of revenues, they have increasingly turned to offerings of private placements. As sales of these products to retail investors have increased, […]
Gianluca Morello was quoted in an article in the Hedge Fund Law Report of June 10, 2009 entitled “New Study Offers Surprising Findings on the Incentives Created by Concurrent Management of Hedge and Mutual Funds.” Among […]
“Antitrust Litigation Best Practices: Observations and Tips for Antitrust Litigation”, Aspatore Books, Thomson Reuters, 2008. For more information, please contact Gianluca Morello at email@example.com.
“Diagnosing Monopsony and Other Issues: An Overview of the United/PacifiCare Investigation,” Co-Authored, Antitrust Health Care Chronicle, March 2006. For more information, please contact Gianluca Morello at firstname.lastname@example.org.