Staney Joseph 🎖️Tokenized Securities: Reshaping Traditional Financial MarketsThe financial landscape is undergoing a significant transformation driven by the emergence of blockchain technology. One of the most…Feb 24Feb 24
Ryan SmithWith Apologies to George Carlin | Practus, LLPGeorge Carlin was one of the best. Not only did he help Alex Winter and Keanu Reeves save the world, but also put together the authority on…Oct 18, 2022Oct 18, 2022
Ryan SmithFinding Balance As A Lawyer, Part 4: Equipment | Practus, LLPAn Ode to Curly and Work-Life Balance, Part 4: EquipmentAug 15, 2022Aug 15, 2022
Ryan SmithFinding Balance As A Lawyer, Part 3: Service | Practus, LLPAn Ode to Curly and Work-Life Balance: ServiceJul 18, 2022Jul 18, 2022
Ryan SmithIs the Past Prologue? FINRA Permits Remote Inspections . . . For Now | Practus, LLPOn July 1, FINRA amended Rule 3110.17 to allow broker-dealers to remotely inspect offices of supervisory jurisdiction (OSJs), branch…Jul 14, 2022Jul 14, 2022
Ryan SmithFINRA’s April 2022 Disciplinary and Other ActionsAs noted recently, FINRA’s monthly publication of its Disciplinary and Other FINRA Actions offers various insight and teaching moments…May 3, 2022May 3, 2022
Ryan SmithMarch 2022: Disciplinary and Other FINRA Actions | Practus, LLPIndustry participants know that FINRA’s monthly posting of its Disciplinary and Other FINRA Actions offers insight into its enforcement…Apr 7, 2022Apr 7, 2022
Ryan SmithSocial Media Hygiene & Recordkeeping | Practus, LLPReporter Dalvin Brown advised that “deleting old social-media posts is good hygiene, no matter who you are.” See The Wall Street Journal…Apr 6, 2022Apr 6, 2022
Ryan SmithFINRA’s Examination and Risk Monitoring Program Report OverviewThe 2022 Report is Worthy Reading for Every Compliance OfficerMar 16, 2022Mar 16, 2022
Jonathan Kurta, Esq.The Future of FINRA Arbitration Hearings: Winning Awards on ZoomSecurities law firm Fitapelli Kurta recently won a six-figure award for a client, through a FINRA arbitration hearing that took place over…Mar 1, 2021Mar 1, 2021
