author tom-potter 
Burr Forman
AUGUST 18, 2020
The Financial Industry Regulatory Authority (“FINRA”) has issued a special alert to its member firms, alerting them to an imposter website: www.finnra.org (containing an extra “n”). Potter, III ( tpotter@burr.com ) is a partner in the Securities Litigation Practice Group at Burr & Forman, LLP. Regulatory Notice 20-27 is here.
Burr Forman
FEBRUARY 10, 2021
On February 9, Acting SEC Chair Lee announced she was restoring the delegated authority of Enforcement Division senior officials to issue subpoenas to compel document production and sworn testimony without the need of a Formal Order of Investigation by the full Commission. Tom is licensed in Tennessee, Texas, and Louisiana.
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Burr Forman
FEBRUARY 2, 2021
On February 1, 2021, the Financial Industry Regulatory Authority (“FINRA”) released its “Report on FINRA’s Risk Monitoring and Examination Activities.” Potter, III ( tpotter@burr.com ) is a partner in the Securities Litigation Practice Group at Burr & Forman, LLP. Tom is licensed in Tennessee, Texas, and Louisiana.
Burr Forman
JANUARY 6, 2021
On the new year’s first day, Congress passed the NDAA over President Trump’s veto and gave the SEC more clear – and longer – disgorgement authority for enforcement actions in the courts. The National Defense Authorization Act for Fiscal Year 2021, H.R. Tom is licensed in Tennessee, Texas, and Louisiana. 6395 (116th Cong.
Burr Forman
AUGUST 18, 2021
The Financial Industry Regulatory Authority (“FINRA”) recently kicked off a “sweep” examination with its August 2021 Targeted Exam Letter on “practices and controls related to the opening of options accounts and related areas, including account supervision, communications and diligence.” Tom is licensed in Tennessee, Texas, and Louisiana.
Burr Forman
AUGUST 17, 2021
On August 13, 2021, the Financial Industry Regulatory Authority (“FINRA”) issued Regulatory Notice 21-29, collecting guidance on outsourcing and vendor management. Potter, III ( tpotter@burr.com ) is a partner in the Securities Litigation Practice Group at Burr & Forman, LLP. Tom is licensed in Tennessee, Texas, and Louisiana.
Burr Forman
FEBRUARY 12, 2021
The changes are within the Acting Chair’s authority, as were some similar changes made by Acting Chair Piwowar during these same circumstances in 2016. Potter, III ( tpotter@burr.com ) is a partner in the Securities Litigation Practice Group at Burr & Forman, LLP. Tom is licensed in Tennessee, Texas, and Louisiana.
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