David C. Boch

7/17/2019 - FINRA Issues Additional Extraordinary Cooperation Guidance

6/19/2019 - Update on State Fiduciary Duty Regulations

6/6/2019 - SEC Adopts Standards of Conduct For Retail Advice

9/9/2016 - In Eagerly Awaited Ruling, AXA Beats Excessive Fee Claim

8/15/2014 - Second Circuit Defines ‘Customer’ Under FINRA Arbitration Rules

9/16/2013 - SEC Issues First Order Enforcing Rule Against Misleading Chief Compliance Officers (Rule 38a-1(c))

3/26/2013 - SEC’s Division of Investment Management Issues Guidance Update on Advertisements and Social Media

12/17/2012 - FINRA Issues Guidance Narrowing the Scope of its New Suitability Rule

10/1/2012 - Financial-Fraud-Law-Report

9/24/2012 - First Circuit Affirms Customer Suitability Obligations Under FINRA Rules

9/11/2012 - SEC Financial Literacy Study — a Harbinger of Future Regulatory Initiatives on Disclosure and Customer Communications

8/23/2012 - SEC Issues Report on the Municipal Securities Market

7/2/2012 - FINRA’s New Rules on Communications With the Public Are Finally Approved

5/31/2012 - FINRA Issues Additional Guidance on its Soon to be Implemented New Suitability Rule

5/22/2012 - FINRA Amends Rules to Provide That Whistleblower Disputes are No Longer Subject to Mandatory Arbitration

4/16/2012 - FINRA Seeks Comment on Proposed “In re Expungement Rule” Applicable to Unnamed Parties in Arbitration Proceedings

3/12/2012 - SEC and CFTC Issue Joint Proposed Rules and Guidelines to Address Identity Theft

3/7/2012 - FINRA Requests Comment on Ways to Facilitate and Increase Investor Use of BrokerCheck Information

3/6/2012 - First Circuit Limits Breadth of Whistleblower Protection Provision Under Sarbanes-Oxley Act of 2002

2/1/2012 - FINRA Amends Proposal Requiring Filings for Private Placements

1/10/2012 - OCIE’s Social Media Alert: Proceed With Caution, Maintain Required Records, and Adopt and Implement Robust Policies and Procedures

1/3/2012 - FINRA Revises Proposed Communications With the Public Rule Yet Again—SEC Seeks Further Comment

8/25/2011 - FINRA Issues Further Clarification on Use of Social Media

6/22/2011 - Supreme Court Janus Capital Group Decision Clarifies Scope of Primary Liability Under Rule 10b-5; Investment Adviser Not Liable for Statements in Funds’ Prospectuses

5/5/2011 - FINRA’s Updated Proposed Rule 2341 Would Require Broad New Pre-Sale Cash Compensation Disclosures by Members Selling Mutual Funds

3/23/2011 - SEC Proposes Amendments to Lost Securityholder Rule to Add Broker-Dealers and to Notify Customers of Non-Negotiated Checks

12/17/2010 - Unanswered Questions From Most Recent Mutual Fund Excessive Fee Case

9/9/2010 - FINRA Responds to Comments – SEC Approves FINRA Rule Change Relating to Outside Business Activities and Considers FINRA Proposal for New ‘Know Your Customer’ and Suitability Rules

7/28/2010 - Massachusetts Supreme Judicial Court Upholds the Authority of the Secretary of the Commonwealth to Exercise Personal Jurisdiction Over an Out-of-State Hedge Fund and its Employees Who Attached Marketing Materials Related to its Unregistered Fund Offerings