Many a school child has received the awful warning to be careful lest some offense be entered on his or her "permanent record". As required by statute (15 U.S.C. § 78o-3(i)), the Financial Industry Regulatory Authority, Inc. (aka FINRA) has...
2017 Cal. App. LEXIS 959, Broker-Dealers, BrokerCheck, Dana Sabraw, finra, Flowers v. FINRA, Nasaa, NASD, Rule 8312
Last week, I noted that Judge Gorsuch has expressed a certain skepticism of Chevron deference. The next day, the Ninth Circuit Court of Appeals held that the Securities and Exchange Commission's interpretation of Section 19(d)(2) of the Securities...
Cheveron deference, Consuelo Maria Callahan, Enforcement & Investigations, finra, Section 19(d), Sharemaster v. SEC
Keith Paul Bishop
