• FINRA has issued a Regulatory Notice related to the recent outbreak of coronavirus disease, "Pandemic-Related Business Continuity Planning, Guidance and Regulatory Relief".

  • Elizabeth Lan Davis attorney profile image

    Elizabeth Lan Davis, a shareholder in Murphy & McGonigle’s Washington, DC office, has been selected to the Leadership Council on Legal Diversity (LCLD) 2020 Fellows Program. The program recognizes attorneys with distinguished leadership capacity from diverse  backgrounds. LCLD is comprised of over 320 corporate chief legal officers and law firm managing partners who serve as mentors and leaders dedicated to fostering diversity.

  • Judge Invites CFTC to Comment on SEC Enforcement Action
    Securities Regulation Daily | (02/13/2020)

    In an unusual development, Judge P. Kevin Castel of the US District Court for the Southern District of New York issued an order in an enforcement action brought by the Securities and Exchange Commission (SEC) inviting the General Counsel of the Commodity Futures Trading Commission (CFTC) to express views on the issues presently before the Court.

  • OCIE and FINRA have announced that cybersecurity will, again, be at the top of their examination priorities for 2020. On top of that, cyberattacks and data privacy scandals are among the most potentially costly and harmful risks facing businesses and financial institutions today. With that in mind, Joseph Facciponti and Katherine McGrail of our Cybersecurity Team have authored “10 Practical Steps to Protect Your Firm from Cyber Threats.”

  • There are two recent, noteworthy actions from the Financial Industry Regulatory Authority, Inc. (FINRA) regarding Rule 5250 and Rule 4530 that should be noted by market makers and other broker-dealers.

  • Daniel Payne of Murphy & McGonigle’s FinTech & Blockchain Practice will be a featured speaker in a Practising Law Institute One-Hour Briefing entitled, “Trends in Blockchain Litigation.”