In this issue of Structured Thoughts, we discuss:
..European Commission consultation on EU benchmark regulation
..FINRA: Suitability and sales practices remain an issue
..SEC charges Switzerland-based dealer for selling...more
In this issue of Structured Thoughts, we discuss:
..FINRA sanctions for a broker for failing to reasonably supervise sales of complex securities.
..NASAA’s report warning about the risks of leveraged and/or inverse...more
In this issue of Structured Thoughts, we discuss:
..New Regulation Best Interest, and its impact on the structured products market.
..The SEC’ June 2019 request for comment on simplifying, harmonizing and improving the...more
FINRA 2018 EXAM PRIORITIES: SUITABILITY AND COMPLEX PRODUCTS REMAIN FRONT AND CENTER -
In January 2018, FINRA released its annual examination priorities letter.1 The letter addresses a variety of areas that are important...more
Early this month the U.S. Securities and Exchange Commission (“SEC”) released final rules (the “Registration Rules”) for the registration of security-based swap dealers (“SBSDs”). The Registration Rules, released more than...more
8/31/2015
/ Background Checks ,
Broker-Dealer ,
CFTC ,
Chief Compliance Officers ,
Compliance ,
Final Rules ,
Policies and Procedures ,
Registration ,
Registration Requirement ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps ,
Stand-Alone SBSDs ,
Swaps