Finra Faces Constitutional Challenges After Appeal Ducks Issues
- Perkins Coie partners look at open issues in Alpine case
- Several constitutional issues could threaten Finra
The self-regulatory organization responsible for member broker-dealers under federal law, the Financial Industry Regulatory Authority, is facing a number of constitutional challenges in the lower court following a federal appeals court decision in Washington late last year.
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Before proceeding, please note: If you are not a current client of Perkins Coie, please do not include any information in this e-mail that you or someone else considers to be of a confidential or secret nature. Perkins Coie has no duty to keep confidential any of the information you provide. Neither the transmission nor receipt of your information is considered a request for legal advice, securing or retaining a lawyer. An attorney-client relationship with Perkins Coie or any lawyer at Perkins Coie is not established until and unless Perkins Coie agrees to such a relationship as memorialized in a separate writing.