PIABA Report: FINRA Arbitrator Pool Lacks Diversity, Fails to Detect Biases
In a report and press release issued this week, the Public Investors Arbitration Bar Association (PIABA) issued a report asserting that FINRA's arbitration panel pool lacks diversity and also took...
View ArticleFINRA Cautions Firms on Confidentiality Provisions In Settlement Agreements...
FINRA recently issued Regulatory Notice 14-40, cautioning broker-dealer firms (and associated persons) against including overly restrictive confidentiality language in both settlement agreements and in...
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A Milestone, I suppose. 500 posts.
I didn't notice it, but when I hit the publish button on the post immediately before this one today, I published the 500th post here on BDLawBlog.com. 500 posts in a little over seven years. I doubt...
View ArticleRestrictive Covenants in Georgia: A Tale of the Calendar
Prior to May 11, 2011, the law in Georgia tended to favor former employees of a business when a dispute arose about the enforceability of restrictive covenants such as covenants not to compete,...
View ArticleThe Basics of Rule 3050 - Outside Accounts for Stockbrokers & Associated Persons
NASD Rule 3050 governs transactions by or for associated persons and it requires associated persons of a FINRA-member broker-dealer to disclose their outside securities accounts to their firm, and to...
View ArticleThe Basics of Rule 2510 - Discretionary Accounts
NASD Rule 2510 governs discretionary accounts. It details how discretionary accounts are to be established and also sets forth the requirements for the use of time and price discretion.In this short...
View ArticleSEC Sanctions Audit Firms
The SEC announced settled administrative proceedings against eight audit firms for alleged violations of the auditor independence rules in connection with audits of broker-dealers. According to the...
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Lessons learned from putting on "the Suit."
Every now and then I use my blog to share with you things not necessarily related to the law, or to our practice areas of financial markets law, estate planning or business law. Today's one of those...
View ArticleSEC Affirms FINRA Sanctions for Broker Taking Client Info. to New Firm
On December 15, 2014, the SEC affirmed a FINRA disciplinary action finding that a broker violated Conduct Rule 2110 when that broker downloaded certain confidential and nonpublic customer information...
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We've Moved. Great Content Still - But at New Site!
Posts here at BDLawBlog.com have been infrequent of late. We've been working to roll out a new online presence for The Beck Law Firm, LLC, that incorporates our blog. After more than seven years...
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