Peter LaVigne

Federal Reserve Issues Final Joint Guidance For Large Bank Resolution Plans

FINRA Proposes To Add 'Knowledgeable Employees' To Category Of Persons Who May Receive Projections And Targeted Returns Under Rule 2210

FINRA Approves Remote Branch Inspection Pilot Program

FINRA (Finally) Adopts Work-From-Home Supervisory Location Category And Requirements

SEC Expands Dealer Definition To Capture Large Traders Regularly Providing Liquidity To The Markets

FINRA Publishes 2024 Annual Regulatory Oversight Report

FINRA Kicks Off The Holiday Season With A Proposal To Permit The Use Of Some Projections And Targeted Returns

A Closer Look At The SEC's Cybersecurity Rules For Covered Entities And Market Entities

FINRA Asks How To Improve Capital Formation Rules; Public Companies And Fund Managers May Have Ideas

SEC Proposes New Regulation Best Execution — Brokers Must Achieve "Most Favorable Price" For Customers; Heightened Obligations For Conflicted Retail Transactions