Corporate Defense and Disputes

Important developments in U.S. securities law, white collar criminal defense, regulatory enforcement and other emerging issues impacting financial services institutions, publicly traded companies and private investment funds

Tag Archives: SRO

What Threats Can Muffle a Corporate Action? FINRA May Rely on SEC Enforcement Proceedings

In a pair of recent opinions, the Securities and Exchange Commission (SEC) found that FINRA acted within the scope of its rules and governing statutory scheme in refusing to announce corporate actions for companies whose executives were subjects of regulatory actions alleging securities laws violations. FINRA is a self-regulatory organization (SRO) responsible for regulating the … Continue Reading
LexBlog