Litigator & Counselor
Important Announcement! Terry Brennan Law is now a part of Bedard Law Group, P.C. in Duluth, GA. Please visit us and learn more about our law firm and services. The following is part of an occasional series on specific rules and regulations governing financial professions. This article will analyze FINRA Rule 2111, which establishes an …
Continue reading “Regulatory Analysis: FINRA Rule 2111 – Suitability”
Important Announcement! Terry Brennan Law is now a part of Bedard Law Group, P.C. in Duluth, GA. Please visit us and learn more about our law firm and services. The following is part of an occasional series on specific rules and regulations governing financial professions. This article will analyze FINRA Rule 3280, which governs (and …
Continue reading “Regulatory Analysis: FINRA Rule 3280 – Private Securities Transactions”
Important Announcement! Terry Brennan Law is now a part of Bedard Law Group, P.C. in Duluth, GA. Please visit us and learn more about our law firm and services. The following is Part II of my article on investment contracts. It will analyze the final two elements of the Howey Test: The expectation of profit …
Continue reading “Definition of a Security: The Investment Contract (Part II)”
Important Announcement! Terry Brennan Law is now a part of Bedard Law Group, P.C. in Duluth, GA. Please visit us and learn more about our law firm and services. This article is the second in an occasional series on the definition of a “security.” As I explained previously, when a financial instrument qualifies as a …
Continue reading “Definition of a Security: The Investment Contract (Part I)”
Important Announcement! Terry Brennan Law is now a part of Bedard Law Group, P.C. in Duluth, GA. Please visit us and learn more about our law firm and services. This article is the first in an occasional series on the definition of a “security.” The answer is important. When a financial instrument qualifies as a …
Continue reading “Definition of a Security: It’s All in the Family (Resemblance Test)”
Important Announcement! Terry Brennan Law is now a part of Bedard Law Group, P.C. in Duluth, GA. Please visit us and learn more about our law firm and services. This article is part of an occasional series on specific rules and regulations governing financial professions. It is also the second in a multi-part analysis of …
Important Announcement! Terry Brennan Law is now a part of Bedard Law Group, P.C. in Duluth, GA. Please visit us and learn more about our law firm and services. This article is part of an occasional series on specific rules and regulations governing financial professions. It is also the first in a multi-part analysis of …
Continue reading “Regulatory Analysis: FINRA Rule 3270 – Disclosure of Outside Business (Part I)”
Important Announcement! Terry Brennan Law is now a part of Bedard Law Group, P.C. in Duluth, GA. Please visit us and learn more about our law firm and services. While the COVID-19 pandemic has shuttered much of the country’s judicial machinery, courts have released opinions on matters argued prior to the stoppage. Two recent federal …
Continue reading “The Nature and Extent of Arbitral Immunity”