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...
BrokerCheck - FINRA's Dread Permanent Record
Posted on November 06, 2017
Ninth Circuit Accords Chevron Deference To The SEC, What Would Judge Gorsuch Say?
Posted on February 07, 2017
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...
