Home
Goodwin Procter LLP
Christopher Grobbel
Christopher Grobbel
Goodwin Procter LLP
FINRA Proposes To Add 'Knowledgeable Employees' To Category Of Persons Who May Receive Projections And Targeted Returns Under Rule 2210
08 Mar 2024 | United States
SEC To Ban Exchange Volume-Based Pricing Tiers
28 Feb 2024 | United States
FINRA Approves Remote Branch Inspection Pilot Program
22 Feb 2024 | United States
FINRA (Finally) Adopts Work-From-Home Supervisory Location Category And Requirements
20 Feb 2024 | United States
SEC Expands Dealer Definition To Capture Large Traders Regularly Providing Liquidity To The Markets
15 Feb 2024 | United States
Crypt-D'OH! FINRA Says 70% Of BD Crypto Asset Communications Are Deficient
08 Feb 2024 | United States
FINRA Publishes 2024 Annual Regulatory Oversight Report
02 Feb 2024 | United States
FINRA Kicks Off The Holiday Season With A Proposal To Permit The Use Of Some Projections And Targeted Returns
14 Dec 2023 | United States
SEC EXAMS Division Announces 2024 Priorities Ahead Of Schedule
27 Oct 2023 | United States
A Closer Look At The SEC's Cybersecurity Rules For Covered Entities And Market Entities
20 Oct 2023 | United States
SEC's ATS Re-Proposal Doubles Down On DeFi And Digital Asset Regulation
12 Oct 2023 | United States
SEC Regulatory Agenda Showcases Important Rules By Fall 2023
05 Jul 2023 | United States
FINRA Asks How To Improve Capital Formation Rules; Public Companies And Fund Managers May Have Ideas
01 Jun 2023 | United States
SEC To Impose Significant New Privacy And Cybersecurity Rules For BDs, RIAs, TAs, And Mutual Funds
25 Apr 2023 | United States
SEC Proposes New Regulation Best Execution — Brokers Must Achieve "Most Favorable Price" For Customers; Heightened Obligations For Conflicted Retail Transactions
07 Mar 2023 | United States
SEC Requires T+1 Settlement Cycle
27 Feb 2023 | United States
SEC "Gift" To The Industry: Four Market Structure Proposals, 3-2 Votes (In Part), But No Partridge In A Pear Tree
10 Feb 2023 | United States
FINRA Exam Targets Broker Crypto Asset Communications
24 Nov 2022 | United States
FINRA Sheds Light On Path To Digital Asset Security Broker Registration
23 Nov 2022 | United States
FINRA Urges Firms To Focus On Succession Planning
16 Nov 2022 | United States
< 1 2 3 >
Contact Details
Washington
Email Website
Washington
United States

  © Mondaq® Ltd 1994 - 2024. All Rights Reserved.