1 result for "15 U.S.C. § 78s(d)(2)"

13m ago • SEC: Commission Opinions & Adjudicatory Orders

Kaplan FINRA Review - Briefs Due May to July

The SEC issued an order scheduling briefs in the administrative review proceeding of Adam Scott Kaplan and Daniel Evan Kaplan's application challenging a FINRA action. Support briefs are due May 21, 2026, opposition briefs by June 22, 2026, and reply briefs by July 6, 2026. Failure to file a support brief may result in dismissal.

Routine Rule Securities

Get alerts for "15 U.S.C. § 78s(d)(2)"

Daily digest delivered to your inbox.

Free. Unsubscribe anytime.

Filters

Priority

Instrument type

Regulatory area

Stage

Role

Search

1 result for "15 U.S.C. § 78s(d)(2)"

Kaplan FINRA Review - Briefs Due May to July

Browse Categories

1 result for "15 U.S.C. § 78s(d)(2)"

Kaplan FINRA Review - Briefs Due May to July

Browse Categories

Get alerts for "15 U.S.C. § 78s(d)(2)"

Subscribed!