On January 10, 2023, the Financial Industry Regulatory Authority, Inc. (“FINRA”) released its 2023 Report on FINRA’s Examination and Risk Monitoring Program (the “Report), available at: 2023 Report on FINRA’s Examination and...more
1/11/2023
/ Anti-Money Laundering ,
Broker-Dealer ,
Cybersecurity ,
Financial Crimes ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
Investment ,
Investment Management ,
Market Manipulation ,
Private Placements ,
Regulation Best Interest ,
Regulatory Oversight ,
Retail Investors ,
Variable Annuities
In recent years, there has been a proliferation of exempt offering alternatives. In advising clients regarding which exempt offering alternative may best meet their objectives, we often suggest that they consider, among other...more
Overview Rule 502(c) (“Rule 502(c)”) of the Securities Act of 1933, as amended (the “Securities Act”), prohibits an issuer from offering or selling securities by any form of general solicitation or general advertising when...more
The Office of the Investor Advocate released its “Report on Activities for the Fiscal Year 2018” (the “Report”). During the 2018 fiscal year, the Investor Advocate focused significant attention on proposed Regulation Best...more
The Investor Advocate Report also included a report on the newly developed research initiative POSITIER (Policy Oriented Stakeholder and Investor Testing for Innovative and Effective Regulation). ...more