Searching Content indexed under Corporate and Company Law by Joshua Horn ordered by Published Date Descending.
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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
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
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
Finally, Federal Protection of Trade Secrets
On Wednesday, May 11, 2016, the Defend Trade Secrets Act of 2016 (DTSA) became law. The DTSA provides, for the first time, uniform federal protection of trade secrets. This statute is a game changer when it comes to protecting your trade secrets, providing an exclusive federal forum and specific rights to injunctive and monetary relief.
United States
18 May 2016
Why The SEC Does Not Want The Free Lunch
It is no secret that some firms try to use the "free lunch" seminars to attract elder clients to high-fee investment products
United States
19 Oct 2015
Oh No, Not More Social Media On Social Media
The recent Putnam Social Advisor Study reported on in the Investment News should tell you all you need to know; 79% of advisors responding to the study gained new clients from social media.
United States
14 Oct 2015
Who Wants Additional Guidance On Dealing With Customers With Diminished Capacity
On June 2, the SEC published an investor Bulletin on Planning for Diminished Capacity and Illness.
United States
3 Jun 2015
The Meaning Of The "E" In E-Mail
Electronic communications—cell phone texts, web posts, tweets and, of course, e-mail—have been a game-changer for financial advisers, brokers and others in the financial industry embroiled in disputes or litigation and, as a result, facing external review of both paper and electronic company records by FINRA, the SEC or opposing counsel during discovery.
United States
22 May 2015
Why Reverse Churning Does Not Create Cream From Butter
For years, firms have been using wrap products to charge an annual fee based upon the value of assets under management regardless of the number of trades, as opposed to fees per trade.
United States
21 Apr 2015
Are You Charging Your Customers Too Much
If you are not asking that question, FINRA may as its recent $350,000 fine levied against a major brokerage house indicates.
United States
3 Feb 2015
Guess Who Did Not Take A Summer Vacation
Now that summer has come to its unofficial end, it seems as though the SEC forgot to check its calendar back I May because it has been conducting exams at a breakneck pace as reported in the Investment News.
United States
3 Sep 2014
What Do You Need To Know About FINRA’s New Supervision Rules
Effective December 1, 2014, there will be new rules for broker-dealer supervision.
United States
1 Apr 2014
It Is The End Of The Year — Do You Know Your Customer
Now that the year is drawing to an end and we reflect back on our successes and, dare I say, failures over the last year, financial advisors and brokers should take the time now to review their respective client portfolios.
United States
2 Dec 2013
So You Don’t Think You Need A Business Continuity Plan; Here Are 15 Considerations Why You Should Have One
Now that summer is in its waning days, the hurricaine season is about to take off. Hurricaine Sandy had a devastating impact on the financial markets, closing the equity markets for two days and some firms for at least a week.
United States
21 Aug 2013
What You Need To Know About Disclosures Through Social Media
In recognition of the pervasive use of social media, the SEC recently issued guidance that public companies could disseminate material information through social media without violating Regulation FD.; The question remains what is the best way to use social media in this fashion.
United States
13 Apr 2013
Every Day Risk Avoidance Techniques
Over the past 11 years that I have defended financial advisors and their employers, it has become readily apparent that many customer-initiated arbitrations are not necessarily the result of malfeasance or even negligence.
United States
30 Jun 2008
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