June 25, 2022

Volume XII, Number 176

Advertisement
Advertisement

June 24, 2022

Subscribe to Latest Legal News and Analysis

June 23, 2022

Subscribe to Latest Legal News and Analysis

June 22, 2022

Subscribe to Latest Legal News and Analysis
Advertisement

FINRA Requests Comments on Rule 4530 Reporting Requirements

The Financial Industry Regulatory Authority (FINRA) is requesting comment on whether to make changes to FINRA Rule 4530, which requires member firms to report specified events, internal conclusions of violations and customer complaint information to FINRA. Among other things, FINRA is seeking input on whether the rule effectively addresses its original purposes in light of regulatory, technological or other environmental changes.

FINRA periodically conducts a retrospective review of the efficacy of significant rulemakings, and FINRA is soliciting comments on Rule 4530 in connection with such a review. The comment period ends on March 9.

FINRA Regulatory Notice 20-02 is available here.

©2022 Katten Muchin Rosenman LLPNational Law Review, Volume X, Number 17
Advertisement
Advertisement
Advertisement
Advertisement
Advertisement
Advertisement

About this Author

Michael T. Foley, Katten, Lawyer, Finance, FINRA, Chicago
Special Counsel

Michael Foley represents broker-dealers, investment advisers and other financial services industry participants with respect to a broad spectrum of legal and regulatory matters arising under the federal securities laws.

Michael has nearly 20 years of experience in private practice and in-house at both a large, full-service broker-dealer and at an online discount broker-dealer, advising broker-dealers and other financial institutions regarding compliance with the federal securities and commodities laws, and with the regulations of the US Securities and Exchange...

312-902-5452
Susan Light, Katten Law Firm, Finance Law Attorney, New York
Partner

Susan Light focuses her practice on financial services regulatory matters. She counsels broker-dealers, hedge funds, investment banks and financial services clients on enforcement issues involving the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), other self-regulatory organizations (SROs) and state and federal regulatory authorities. She has particular experience related to sales practice issues, financial and operational issues, anti-money laundering, crowdfunding, cybersecurity, and cryptocurrencies.

...
212-940-8599
James M. Brady, Katten Muchin Law Firm, Finance Attorney
Associate

James Brady concentrates his practice in financial services matters.

While in law school, James was an editor of the Michigan Journal of International Law. He also served as a judicial intern to the Honorable Stephen J. Markman of the Michigan Supreme Court. http://www.kattenlaw.com/James-Brady

312-902-5362
Advertisement
Advertisement
Advertisement