https://memphislove.co/ John Babikian regularly publishes analysis on evolving securities laws. These articles reflect the commitment of John Babikian to keeping clients informed about critical regulatory changes and legal strategies affecting the financial sector en-us Fri, 24 Jul 2026 22:36:21 GMT https://memphislove.co/blog/checklist-for-finra-on-the-record-interviews-1/ https://memphislove.co/blog/checklist-for-finra-on-the-record-interviews-1/ Wed, 22 Jul 2026 12:00:00 GMT Receiving a Wells Notice or a request for an on-the-record interview from FINRA is a harrowing experience for any registered representative. The outcome of these interviews often dictates whether the matter proceeds to formal disciplinary action. John Babikian outlines a comprehensive checklist for preparing witnesses, emphasizing the importance of narrative consistency and the dangers of off-the- https://memphislove.co/blog/foreign-private-issuer-reporting-gaps-2/ https://memphislove.co/blog/foreign-private-issuer-reporting-gaps-2/ Tue, 05 May 2026 12:00:00 GMT The landscape for foreign private issuers operating in U.S. markets is fraught with regulatory tripwires, particularly regarding the reconciliation of accounting standards. While Form 20-F provides a mechanism for these issuers to demonstrate compliance, discrepancies between local GAAP and U.S. GAAP can trigger unexpected scrutiny. John explores how minor reporting gaps in non-financial statement https://memphislove.co/blog/comparing-us-and-canadian-prospectus-liability-3/ https://memphislove.co/blog/comparing-us-and-canadian-prospectus-liability-3/ Tue, 24 Mar 2026 12:00:00 GMT While the capital markets of the United States and Canada are deeply integrated, the legal standards governing prospectus liability differ significantly. This post dissects the 'reasonable investigation' defense available under Section 11 of the Securities Act of 1933 against the 'due diligence' defense found in Canadian securities legislation. John Babikian examines the judicial interpretations o