by Margaret Chow | Dec 1, 2023 | Homepage News, Privacy & Data Security, Privacy & Data Security Alerts, Securities, Securities Alerts
As we draw near the close of 2023, we write to highlight some significant data privacy and protection developments from the past year. The landscape of digital rights and data privacy has experienced unprecedented changes, which not only reflect the rapid pace of...
by Margaret Chow | Oct 12, 2023 | Employment Alerts, Homepage News, Securities, Securities Alerts
On October 10, 2023, Governor Newsom signed Senate Bill 365 (“SB 365”) into law. Effective January 1, 2024, SB 365 provides that an appeal from an order dismissing or denying a petition to compel arbitration shall not automatically stay proceedings in the trial court...
by Stacey Garrett | Mar 16, 2021 | Homepage News, Privacy & Data Security, Securities, Securities Alerts
All member firms should be aware of an ongoing phishing campaign that involves fraudulent emails purporting to be from “FINRA Membership” and using the email address “supports@finra-online.com.” The email asks recipients to respond to an issue of “regulatory...
by Connor Trafton | Oct 12, 2020 | Homepage News, Securities Alerts
FINRA recently submitted to the SEC proposed changes to its expungement rules that would significantly limit a broker’s ability to remove disclosures from their Central Registration Depository (CRD) record. These changes, contained in a 557-page document filed on...
by Ryan Lean | Feb 27, 2020 | Homepage News, Securities Alerts
On February 26, 2020, the United States Supreme Court issued a unanimous opinion holding that, for purposes of ERISA’s three-year statute of limitations for fiduciary breach claims, participants in a retirement plan have “actual knowledge” of information only if they...
