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Patrick Sean Kelly (Sean)
Insights 12 results
Client Alert
April 27, 2026
FINRA Adopts Sweeping Changes to Margin Requirements for Day Trading
Client Alert
February 18, 2026
Financial Services M&A: FINRA Notice Regarding Bulk Account Transfer Reduces Regulatory Burdens and Provides Updated Guidance
Article
February 9, 2026
Practising Law Institute's Broker Dealer Regulation Treatise
Client Alert
December 24, 2025
SEC Clarifies Broker-Dealer Custody Rules for Crypto Assets
Client Alert
June 24, 2025
FINRA Proposes Amendments to The Gifts Rule
Client Alert
March 20, 2025
SEC Staff No-Action Letter Eases Rule 506(c) Accredited Investor Verification
Article · Source: Practising Law Institute
December 4, 2024
Practising Law Institute's Broker Dealer Regulation Treatise
Article · Source: Corporate Compliance Insights
March 4, 2024
SEC Broadens Definition of ‘Dealer’
Article · Source: Law360
February 28, 2024
How Broker-Dealers Can Prepare For New Remote Work Rules
Client Alert
February 9, 2024
SEC Adopts Rules Requiring Certain Trading Entities, Including Certain Investment Advisers and Private Funds, to Register as Broker-Dealers
Client Alert
February 8, 2024
SEC Approves FINRA Supervisory Control Rules Expanding Remote Work Options for Broker-Dealers
Article · Source: Practising Law Institute
November 15, 2023
Broker-Dealer Regulation Treatise