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Searching Content by Joshua Horn from Fox Rothschild LLP ordered by Published Date Descending.
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1
Compliance Issues The SEC Is Seeing
The Office of Compliance Inspections and Examinations (or OCIE) recently issued a Risk Alert that identified the five most frequent compliance topics that arising from OCIE examinations.
United States
13 Feb 2017
2
One Man's Rogue Broker Is Another Man's Treasure
Like it has in the past, FINRA is sharply focused on examining brokers with a disciplinary past, including the indentification and examination of such brokers being placed at the top of its 2017 exam priorities.
United States
30 Jan 2017
3
What Do You Need To Know About New York And Cybersecurity
At its core, the rules require these entities to have cybersecurity programs directed to consumer protection.
United States
24 Jan 2017
4
Securities Compliance Sentinel
A recent Investment News article highlighted a burgeoning market for financial advisors looking to protect their practices; namely, data breach insurance.
United States
21 Jan 2017
5
What Are You Doing To Prevent A Data Breach
A broker-dealer recently agreed to pay a $650,000 fine after an OSJ's cloud vendor failed to adequately protect customer information.
United States
13 Dec 2016
6
Dodd What
Now that the election is over, it remains to be seen whether a Trump administration will do away with Dodd-Frank and dump the Department of Labor fiduciary duty rule as promised.
United States
9 Nov 2016
7
A Match Made In Heaven: Cannabis Law And The Rules Of Professional Conduct
Before addressing the answer, it is important to understand the issue.
United States
5 Nov 2016
8
So Who Wants Senior Clients
In its never-ending effort to thwart senior investor fraud, FINRA recently proposed a new rule to the SEC.
United States
2 Nov 2016
9
Private Equity And Hedge Funds: Regulatory Analysis And Structural Overview
We have produced this handbook as a reference guide for all those who are interested in this exciting field, from potential entrants to those who may be more established and need a quick reference guide.
United States
22 Oct 2016
10
FINRA Regulation of Broker-Dealer Due Diligence In Regulation D Offerings
Under the Securities Act of 1933, as amended (Securities Act), any offer to sell or sale of securities must be registered with the U.S. Securities and Exchange Commission (Commission) or qualify for a registration exemption.
United States
22 Oct 2016
11
FINRA Continuing Membership Application Checklist
The Financial Industry Regulatory Authority (FINRA) Rule 1017 requires broker-dealers to file continuing membership applications (CMAs) if they plan to embark on certain enumerated events such as changes in ownership, control, or business operations. The
United States
22 Oct 2016
12
FINRA Continuing Membership Application Checklist
The Financial Industry Regulatory Authority (FINRA) Rule 1017 requires broker-dealers to file continuing membership applications (CMAs) if they plan to embark on certain enumerated events such as changes in ownership, control, or business operations. The
United States
22 Oct 2016
13
Broker-Dealer Record Keeping Requirements
Registered broker-dealers (BDs) are subject to a variety of recordkeeping requirements that are promulgated and enforced by the U.S. Securities and Exchange Commission (Commission or SEC), the various states, and self-regulatory agencies such as the Financial Industry Regulatory Authority (FINRA).
United States
22 Oct 2016
14
Crowdfunding Intermediaries
On April 5, 2012, the Jumpstart Our Business Startups Act (the JOBS Act) was enacted. Consistent with its name, the JOBS Act sought to help small businesses and start-ups get off the ground and on a path toward success.
United States
22 Oct 2016
15
A Data Breach! You Better Check The Law Of The States In Which You Have Customers
Consistent with the ongoing guidance/requirements from the SEC and FINRA, all firms must have and enforce data security policies and procedures.
United States
19 Oct 2016
16
Broker Dealers, Registered Investment Advisers and Commodities/Futures Registered Entities: Recognizing Their Structured And Regulatory Differences
At Fox Rothschild LLP, we have a wealth of experience in creating and forming broker-dealers, registered investment advisers, commodity entities and various hedge funds. Over the years, our strategy has been to work with our clients to develop these entities while also assisting them in their ongoing business operations.
United States
19 Oct 2016
17
When Just Saying "No" Is A Good Thing
In the hectic world of financial services, registered representatives and investment adviser representatives are always looking to increase their assets under management. At what cost?
United States
14 Oct 2016
18
Do You Really Want To Hire That Broker With A Checkered Past
The SEC will essentially be examining the investment advisers business and compliance practices, particularly focused on higher risk individuals.
United States
19 Sep 2016
19
National Survey On Restrictive Covenants In Employment
This 50-state survey provides a quick reference for in-house counsel and human resource professionals to access details on the variations by state in the laws of restrictive covenants in the employment context.
United States
13 Sep 2016
20
Is This The First Shot In The SEC's War Against Social Media?
The SEC has repeatedly included issues around social media in its annual exam priorities for investment advisers. With the release of a final rule on the subject, the SEC has taken that "exam priority" to the next level.
United States
7 Sep 2016
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