• Forum Selection Provisions Involving FINRA Member Firms

    Earlier this month, FINRA issued Regulatory Notice 16-25 (Notice) concerning forum selection provisions and FINRA member firms.  The Notice reaffirms the right of customers and associated persons to arbitrate disputes with FINRA member firms in the FINRA arbitration forum and under FINRA […]

  • A Lament for Whistleblowers

    Yesterday was a watershed day in the history of the Olympic Movement.  The short version of this long, sad, and depressing story is as follows. On Sunday, the International Olympic Committee (IOC) considered whether to ban all Russian athletes from […]

  • The Foreign Corrupt Practices Act: A Primer and Recent Developments

    Today’s topic is the Foreign Corrupt Practices Act. In a white paper available here, former Securities and Exchange Commission Staffer Jay Perlman offers a primer on the Foreign Corrupt Practices Act (FCPA). As the memorandum outlines, in the early 1970s, […]

  • Welcome!

    Welcome! We are The Institute For Financial Market Regulation, a cooperative project of academics, professionals, and students interested in the operation and regulation of financial markets. We created this forum as a place to share research, experiences, proposals, and practical […]