Searching Content indexed under Securities 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
SEC Proposes Simplified Relationship Summary For Broker-Dealers And Investment Advisers To Use With Retail Investors
In the third release comprising part of the package of proposed rules and forms related to broker-dealers' and investment advisers' standards of conduct, the Securities and Exchange Commission ...
United States
15 May 2018
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
Understanding The Standard Of Care For Broker-Dealers And The Department Of Labor's Fiduciary Rule
Until recently, broker-dealers operating in the United States weren't subject to a fiduciary standard when dealing with their retail clients.
United States
12 Jan 2018
DOL Issues Request For Information Regarding Fiduciary Rule
On June 29, 2017, the Department of Labor ("DOL") issued a Request for Information ("RFI") in connection with its examination of the Final Fiduciary Rule, which was published on April 8, 2016, and became applicable on June 9, 2017.
United States
13 Jul 2017
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
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
FINRA Study Of Financial Literacy: Many Investors May Not Have It
In July 2016, FINRA's Investor Education Foundation released the findings from its National Financial Capability Study.
United States
20 Jul 2016
"It's Not A Culture War" – Yet?
On May 23, 2016, at FINRA's annual conference in Washington, D.C., Richard Ketchum, FINRA's chairman and CEO, delivered a speech that shed a little light on FINRA's recent sweep letter relating to firm culture...
United States
2 Jun 2016
FINRA Releases Proposed Rule To Reduce The Regulatory Burdens On Boutique Investment Banks
FINRA has filed with the SEC a proposed rule which would reduce the regulatory burden for broker-dealers that limit their activities to M&A and certain corporate financing transactions.
United States
12 Jan 2016
Referral Fees And Commission Sharing: When May Broker-Dealers Share Their Fees With Non-Brokers?
FINRA filed proposed rule changes with the SEC addressing when broker-dealers may pay referral fees or otherwise share compensation with persons who are not registered as broker-dealers.
United States
22 Oct 2014
FINRA Invites Public Comment On A Modified Regulatory Scheme For Broker-Dealers Specializing In M&A And Corporate Finance
FINRA is seeking public comment on a much needed overhaul of the regulatory requirements for broker-dealers who specialize in M&A and corporate finance.
United States
27 Mar 2014
Private Company M&A Brokers Don’t Need To Register With The SEC As Broker-Dealers
On January 31, 2014, the SEC issued a ground-breaking no-action letter, taking the position that a financial intermediary that limits its business activity to advising privately held companies in M&A transactions need not register as a broker-dealer.
United States
13 Feb 2014
Chipping Away At Barriers To Global Financial Services: SEC Staff Addresses Issues For Foreign Broker-Dealers Under Rule 15a-6
Noting the increasingly global nature of financial markets, the U.S. Securities and Exchange Commission adopted Rule 15a-6 nearly twenty four years ago.
United States
15 Apr 2013
One Step Closer To A Fiduciary Duty For Broker-Dealers?
More than two years after an SEC Staff study recommended adoption of a uniform fiduciary standard for broker-dealers and investment advisers, the SEC has taken its first significant step towards possible implementation of the recommendation.
United States
12 Mar 2013
FINRA Issues Guidance For Private Placement Filings
On December 3, 2012, FINRA’s new Rule 5123 went into effect.
United States
18 Dec 2012
Good Walls, Better Compliance: OCIE’s Report
On September 27, 2012, the Staff of the SEC’s Office of Compliance Inspections and Examinations published a summary of examinations.
United States
8 Oct 2012
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