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Updates for Robert S. Frenchman

Frenchman, Robert S.

Partner

New York
P 212.508.6184
F 212.938.3884
robert.frenchman@bgllp.com

Assistant

Nicole Distefano
212.402.8479
FINRA Amends Electronic Form NMA, Adopts New Electronic Form CMA and Imposes Steep Fees for CMAs
July 25, 2012
Collision Occurs Between Copyrights and Misappropriation in Electronic News Media Space
June 24, 2011
Proposed Changes to FINRA Rule 5131 Approved by the SEC
June 14, 2011
New FINRA Rule 5131 Relating to Allocation and Distribution of Shares in IPOs Approved by the SEC
May 16, 2011
New FINRA Rule 5131 Relating to Allocation and Distribution of Shares in IPOs Approved by the SEC
March 23, 2011
FINRA Adopts Self-Reporting Requirement - Marks Big Change for Legacy NASD Member Firms
March 14, 2011
SEC Approves the Alternative Uptick Rule
Securities Law Update
February 26, 2010
SEC Extends Temporary Rule for Principal Trades with Clients
January 4, 2010
FINRA Adopts After-Hour OTC Equity Trade Reporting Rules
September 17, 2009
FINRA Amended Trade Reporting Rules Effective August 3, 2009
Securities Law Update
July 31, 2009
SEC Proposes Changes to Investment Advisers Act Custody Rule
May 22, 2009
SEC Extends Form SH Filing Requirement until August 1, 2009
Securities Law Update
October 24, 2008
SEC Emergency Order: Form SH Filing Requirement
Securities Law Update
September 29, 2008
SEC Proposes to Expand 15a-6 Registration Exemption for Foreign Broker-Dealers
Securities Law Update
August 20, 2008
NYSE Rule 97 To Be Rescinded
Securities Law Update
March 11, 2008
SEC Votes To Adopt Final Rules Exempting Banks From Broker-Dealer Registration For Limited Securities Activities
Securities Law Update
September 26, 2007