Valuations of Unlisted Real Estate Investment Trusts and Direct Participation Programs – Boca Raton, Florida REIT and DPP FINRA Arbitration and Litigation Attorney

SEC Order Approving FINRA Rule Change Relative to How Member Firms are Required to Calculate the Value of Unlisted Real Estate Investment Trusts and Direct-Participation Programs: The Sec has approved FINRA’s plan to overhaul how member firms calculate the value...

Proposed FINRA Rule Change to Amend the Discovery Guide Used in Customer Cases to Provide Guidance on Electronic Discovery, Product Cases and Affirmations – South Florida FINRA Arbitration Attorney

Proposed Rule Change to Amend the Discovery Guide Used in Customer Arbitration Proceedings to Provide Guidance on Electronic Discovery Issues and Product Cases and to Clarify the Existing Provision Relating to Affirmations: Financial Industry Regulatory Authority,...

Notice of Adoption of Final Rule for Broker – Dealers Engaging in a Retail Forex Business – South Florida Retail Forex FINRA and NFA Arbitration Attorney

Adoption of Final Rule for Broker-Dealers Engaging in a Retail Forex Business The Securities and Exchange Commission (Commission) recently announced the adoption of a final rule (Rule 15b12-1) to permit a registered broker-dealer to engage in a retail forex...

FINRA Proposed Consolidated Supervision Rule – Florida Securities and Investment Negligent Supervision, Fraud and Mismanagement FINRA Arbitration and Litigation Attorney

South Florida – FINRA Negligent Supervision FINRA Arbitration Attorney: Proposed Rule Change to Adopt the Consolidated FINRA Supervision Rules: Financial Industry Regulatory Authority, Inc. (“FINRA”) recently filed with the Securities and...

Proposed Rule Change to Amend FINRA Dispute Resolution’s By-Laws to Clarify That Services Provided by Mediators Should Not Cause Them to Be Classified As Industry Members under the By-Laws

The Financial Industry Regulatory Authority, Inc. (“FINRA”) recently filed with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the By-Laws of FINRA Dispute Resolution, Inc. (By-Laws)...

SEC Approves Consolidated FINRA Rules Governing Know-Your- Customer and Suitability Obligations

SEC Approves Consolidated FINRA Rules Governing Know-Your-Customer: Effective October 7, 2011, new consolidated FINRA rules governing your broker/dealer’s and your account executive’s know-your-customer and suitability obligations become effective for the...