The SEC’s Examinations Program of IAs and Dually Registered Firms

On July 25, 2012, Ken C. Joseph, Associate Director of the New York Regional Office of the U.S. Securities and Exchange Commission, Office of Compliance, Inspections and Examinations (“OCIE”), spoke at the SIFMA Compliance and Legal Society monthly luncheon about the SEC’s examinations program of IAs and dually registered firms. A summary of the presentation

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FINRA’s New Know Your Customer And Suitability Rules

On July 9, 2012, two new FINRA rules are scheduled to go into effect – Rule 2090, “Know Your Customer,” and Rule 2111, “Suitability.”  Rule 2090 is modeled after former NYSE Rule 405(1), “Diligence as to Accounts,” and Rule 2111 is modeled after former NASD Rule 2030, “Recommendations to Customers (Suitability).”  While the new Know

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Above The Law Article About Reyhani Nemirovsky

Reyhani Nemirovsky was recently featured in an article in Above the Law.  Follow the link for more… http://abovethelaw.com/2012/06/size-matters-how-a-bad-economy-means-good-business-for-a-new-boutique-firm/

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Hot Topics in the SEC’s National Exam Program

On May 15, 2012, Carlo di Florio, Director of the Office of Compliance Inspections and Examinations at the U.S. Securities and Exchange Commission (“OCIE”), spoke at the SIFMA Compliance and Legal Society monthly luncheon at the Harvard Club in New York City.  Mr. di Florio discussed Hot Topics in the SEC’s National Exam Program: A

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FINRA Exam Initiatives 2012

On April 24, 2012, Susan Axelrod, Executive Vice President and Head of Member Regulation Sales Practice at FINRA, spoke at the SIFMA Compliance and Legal Society monthly luncheon at the Harvard Club in New York City.  The topic was FINRA’s sales practice concerns and sales practice exam program. Ms. Axelrod covered six areas during her

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Former Bingham and Loeb Attorneys Launch Boutique Firm Reyhani Nemirovsky LLP

April 16, 2012 NEW YORK – Reyhani Nemirovsky LLP announced today its formation, by former Bingham McCutchen LLP Counsel Dimitri Nemirovsky and former Loeb & Loeb LLP Partner Bryan Reyhani. After almost nine years at their respective firms and, prior to that, in-house counsel positions at Merrill Lynch, Nemirovsky and Reyhani have set out to

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