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Searching Content indexed under Financial Services by Bradley Berman ordered by Published Date Descending.
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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
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
5
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
6
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
7
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
8
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
9
FINRA Increases Margin Requirements For ETNs And Options On ETNs
Debt securities, which include ETNs, are margin securities.
United States
6 Aug 2019
10
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
11
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
12
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
13
Market Trends 2018/19: Medium-Term Note Programs
This market trends article examines recent trends regarding medium-term note programs, providing an overview of the market in 2018 and 2019 with a focus on general deal structure and process, recent deal terms...
United States
30 Jul 2019
14
Regulation Best Interest
On June 5, 2019, the Securities and Exchange Commission (SEC) adopted Regulation Best Interest (Rule 15l-1 under the Securities Exchange Act of 1934 (Exchange Act)),
United States
25 Jun 2019
15
Refresher: Using Free Writing Prospectuses For Structured Notes Offerings
With the SEC's Securities Offering Reforms in December 2005 came a new tool for offering securities: the free writing prospectus.
United States
13 Jun 2019
16
Revised Notice Of Proposed Rule Change To FINRA Rule 5110
FINRA recently refiled its proposed rule change to amend FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements).
United States
11 Jun 2019
17
House Passes Resolutions On Financial Literacy And Support For Elderly
On April 30, 2019, the U.S. House of Representatives passed H. R. 328, Supporting the Protection of Elders Through Financial Literacy and H.R. 1876, the Senior Security Act of 2019.
United States
11 Jun 2019
18
Unsuitable Sales Of Leveraged ETFs Draw FINRA's Ire; Text Messaging Violates Communications Rules
The Financial Industry Regulatory Authority, Inc. has been quite clear on its views of "non-traditional exchange traded products," such as leveraged inverse exchange-traded notes and exchange-traded funds.
United States
10 Jun 2019
19
The ARRC's Final Recommendations For New Fallbacks For LIBOR Floating Rate Notes
On April 25, 2019, the Alternative Reference Rates Committee ("ARRC") published "ARRC Recommendations Regarding More Robust Fallback Language for New Issuances of LIBOR Floating Rate Notes" ("ARRC Recommendations").
United States
17 May 2019
20
Indices: The Good, The Bad And Knowing The Difference
An issuer comes to us and asks if it can link its debt security to an index. This seemingly simple question (if the index is the S&P® 500 Index, for example) progresses ...
United States
1 Mar 2019
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