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NASAA, PIABA defend FINRA in "existential threat" case

FINRA mounts defense against 'existential' legal threats

The Assault on the SEC's Administrative Citadel Continues | Burr & Forman

A panel of the D.C. Circuit recently relied on Lucia and Cochran to enjoin a FINRA regulatory enforcement action pending appeal of an Appointments Clause challenge.

A Coming Seismic Shift in Administrative Law? Or Just a Tremor? | Carlton Fields

Article I of the U.S. Constitution articulates the fundamental principles that “[a]ll legislative Powers … shall be vested in a Congress,” “[t]he executive Power shall be vested in a.

Riding the Regulatory Enforcement Train: FINRA Issues Reminder on Supervisory Liability for Chief Compliance Officers | Moore & Van Allen PLLC

On March 17, 2022, FINRA issued Regulatory Notice 22-10 (“Notice”), which reminds FINRA member firms and their associated persons of the scope of supervisory liability for Chief.