Search
Searching Content indexed under Financial Services by Anna T. Pinedo ordered by Published Date Descending.
Links to Result pages
 
1 2 3 4  
>>Next
 
Title
Country
Organisation
Author
Date
1
FINRA Sanctions Representative And Member For Unsuitable Recommendation Of Financial Product
A general securities representative settled Financial Industry Regulatory Authority ("FINRA") charges for advising customers to purchase Leveraged and Inverse Exchange Traded Funds
United States
18 Oct 2019
2
FINRA Updates Rule 2232 FAQs
FINRA recently updated its frequently asked questions about Rule 2232, which requires that FINRA members disclose in their confirms to retail customers their markups
United States
18 Oct 2019
3
FINRA: Keep Advertising Simple
In Regulatory Notice 19-31 (the "Notice"), FINRA focuses on keeping marketing materials fair and balanced, as required by FINRA Rules 2210 – 2220, but also keeping those materials short and sweet.
United States
18 Oct 2019
4
House Financial Services Committee And House Of Representatives Address Capital Formation Related Bills
This past week, the House Financial Services Committee considered and passed a few bills that would, if passed by the House, result in changes to the securities laws.
United States
26 Sep 2019
5
Volcker Rule Revisions Adopted By Agencies - August 29, 2019
The US federal banking and functional regulators ("Agencies")1 have finalized revisions to the proprietary trading and compliance program provisions of the Volcker Rule (the "2019 Revisions").2
United States
3 Sep 2019
6
FINRA Rule 5110 – An Amendment To The Proposed Rule Change
The Financial Industry Regulatory Authority, Inc. ("FINRA") has again released proposed revisions to FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements).
United States
2 Sep 2019
7
FINRA Seeks Comment On Senior Protection Rules
On August 9, 2019, FINRA issued Regulatory Notice 19-27 requesting comments on its rules and administrative processes that most directly apply to financial exploitation of senior investors.
United States
2 Sep 2019
8
Volcker Rule Revisions Adopted By Agencies
The Federal Deposit Insurance Corporation ("FDIC"), Office of the Comptroller of the Currency ("OCC"), Board of Governors of the Federal Reserve System ("Federal Reserve"),
United States
2 Sep 2019
9
FIMSAC Approves Recommendation For Investor Education Regarding Retail Notes
In a meeting held on July 29, 2019, the SEC's Fixed Income Market Structure Advisory Committee ("FIMSAC") unanimously approved its Corporate Bond Transparency Subcommittee's
United States
2 Sep 2019
10
Nasdaq Rule Changes To Initial Listing Standards Related To Liquidity Effective
Earlier this spring, the Nasdaq Stock Exchange (the "Nasdaq") filed a proposed amendment (the "Amendment") of its initial listing standards
United States
13 Aug 2019
11
FINRA Sanctions A Brokerage For Failure To Reasonably Supervise Securities Transactions
FINRA found that Dealer received but did not review the alerts.
United States
6 Aug 2019
12
FINRA Increases Margin Requirements For ETNs And Options On ETNs
Debt securities, which include ETNs, are margin securities.
United States
6 Aug 2019
13
Brokerage Firm Granted Summary Judgment In Reverse Convertible Notes Class Action
On July 11, 2019, the U.S. District Court for the District of Minnesota granted a brokerage firm motion for summary judgment in a class action filed by customers alleging the loss of approximately $1.1 million ...
United States
5 Aug 2019
14
FINRA Reminds Firms Of Their TRACE Reporting Obligations
FINRA recently issued a Trade Reporting Notice to remind firms they must report any transaction in a "TRACE-Eligible Security" unless an exception applies.
United States
5 Aug 2019
15
The SEC Adds Its Voice To The LIBOR Chorus
In a public statement dated July 12, 2019, the SEC's Divisions of Corporation Finance, Investment Management and Trading and Markets, and the Office of the Chief Accountant, encouraged market participants ...
United States
5 Aug 2019
16
FINRA Proposed Amendments To Rules 5130 And 5131
FINRA Proposed Amendments to Rules 5130 and 5131.
United States
1 Aug 2019
17
FINRA Resource On Private Placement Filings
FINRA has released guidance, in question-and-answer format, with respect to FINRA member firm requirements to make filings under FINRA Rule 5122 and Rule 5123.
United States
31 Jul 2019
18
FINRA Corporate Financing Rule Amendment
Exhibit 4 shows the changes proposed in this Partial Amendment No. 1 in a blacklined version.
United States
31 Jul 2019
19
SEC Staff Statement On LIBOR Transition
On Friday, July 12, 2019, the Securities and Exchange Commission's Divisions of Corporation Finance, Investment Management and Trading and Markets, and the SEC's
United States
23 Jul 2019
20
Top 10 Practice Tips: Debt Tender Offers
The following 10 practice points are intended to help you in assisting an issuer with a proposed debt tender offer for cash.
United States
15 Jul 2019
Links to Result pages
 
1 2 3 4  
>>Next