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Searching Content indexed under Finance and Banking by Hillel Cohn ordered by Published Date Descending.
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FINRA's 2019 Risk Monitoring And Examination Priorities Letter Highlights Broker-Dealer Online Distribution Platform Activities
FINRA recently published its 2019 Risk Monitoring and Examination Priorities Letter ("Priorities Letter") highlighting topics upon which FINRA will focus in the coming year
United States
31 Jan 2019
2
Massachusetts Takes On Risky Broker-Dealers That Offer Private Placements
On July 2, 2018, the State of Massachusetts announced that it was investigating 10 broker-dealers that have 15% or more of their agents with current disciplinary incidents and that offer private placements...
United States
11 Jul 2018
3
The SEC's Standard Of Conduct Proposals Would Raise The Bar On Investment Advisers
According to the Securities and Exchange Commission (SEC or "Commission"), its April 18, 2018 release proposing an interpretation of the standard of conduct for investment advisers ("Adviser Conduct Release") ...
United States
30 Apr 2018
4
SEC Proposes A New Standard of Care for Broker-Dealers: Regulation Best Interest
For many years, the distinction between investment advisers and broker-dealers was clear: investment advisers were counselors who were expected to provide advice ...
United States
26 Apr 2018
5
First State Charges Broker-Dealer In Connection With Violations Of DOL Fiduciary Rule
On February 15, 2018, the Enforcement Section of the Massachusetts Securities Division (the "Division") of the Office of the Secretary of the Commonwealth charged a registered broker-dealer ...
United States
21 Feb 2018
6
The Fiduciary Rule Poll
The US Department of Labor's (DOL) fiduciary standard rule has been befuddling the financial services industry for the past seven years.
United States
5 Oct 2017
7
FINRA Retrospective Rule Review: Outside Business Activities And Private Securities Transactions
A retrospective review involves FINRA looking back at a significant rule after a period of time to determine whether it effectively serves its intended objective.
United States
23 May 2017
8
FINRA Revises Its Sanction Guidelines
In April 2017, FINRA announced that it had revised its sanction guidelines for violations of its rules.
United States
26 Apr 2017
9
A Trio Of FINRA Notices Focused On Capital Formation Issues
On April 12, 2017, FINRA released three regulatory notices for comment that propose amendments to various FINRA rules affecting capital formation.
United States
25 Apr 2017
10
DOL Fiduciary Rule Delayed By 60 Days
Late in the day on April 4, 2017, the Department of Labor ("DOL") made publicly available its final rule...
United States
12 Apr 2017
11
The SEC Issues A Request For Comment On Possible Changes To Industry Guide 3
On March 1st, 2017, the Securities and Exchange Commission ("Commission") issued a request for comment ("RFC") seeking comment on Industry Guide 3, "Statistical Disclosure by Bank Holding Companies"...
United States
16 Mar 2017
12
DOL Issues Additional Guidance On Fiduciary Rule
On January 13, 2017, the U.S. Department of Labor ("DOL") issued a second set of guidance on its new fiduciary rules, which are scheduled to become effective on April 10, 2017.
United States
31 Jan 2017
13
FINRA Fine Addresses Broker Compensation And Conflicts Of Interest
A recent enforcement action by FINRA underscores the regulator's continuing concern regarding how financial advisers are paid to sell investment products.
United States
2 Dec 2016
14
DOL Issues First Guidance On Fiduciary Rule
On October 27, 2016, the U.S. Department of Labor (DOL) issued initial guidance on its new fiduciary rules, which are scheduled to become effective on April 10, 2017.
United States
7 Nov 2016
15
Capital Acquisition Brokers: New Category Of Broker-Dealers Provides Limited Relief For Some Investment Banking Boutiques
The SEC recently approved a set of FINRA rules which creates a new category of broker-dealers known as Capital Acquisition Brokers or CABs.
United States
20 Sep 2016
16
Structured Thoughts: Volume 7, Issue 8 August 11, 2016
The U.K.'s recent referendum to withdraw from the European Union has affected virtually all segments of the financial industry. The structured products area is no exception.
United States
12 Aug 2016
17
Private Equity Fund Manager Sanctioned For Acting As Unregistered Broker-Dealer
A recent SEC enforcement action against a private equity fund manager highlights the SEC's renewed focus on transaction-based compensation received by investment managers...
United States
13 Jun 2016
18
Structured Thoughts: News For The Financial Services Community, Volume 7, Issue 6
In our last issue, we discussed the potential impact of the Department of Labor's new rules on sales of structured products.
United States
7 Jun 2016
19
Implications Of The DOL Fiduciary Rule For Structured Products
On April 6, 2016, the Department of Labor ("DOL") issued its final conflict of interest regulations, which significantly expand who is considered a fiduciary when dealing with a retirement account.
United States
16 May 2016
20
Structured Thoughts: News For The Financial Services Community, Special Issue
On April 6, 2016, the Department of Labor issued its final conflict of interest regulations, which significantly expand who is considered a fiduciary when dealing with a retirement account.
United States
9 May 2016
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