FINRA focuses on anti-money laundering procedures and red flags *

USA - May 16 2013
Last week, the Financial Industry Regulatory Authority (FINRA) publicized penalties against three companies - as well as four associated individuals…

Co-authors: Kiersten A. Fletcher .

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FINRA identifies concerns with marketing of real estate investment products *

USA - May 10 2013
FINRA recently signaled a continuing focus on the marketing of real estate-related products by issuing a Regulatory Notice expressing concerns about…

Co-authors: Kelley A. Howes, Thomas M. Devaney.

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SEC and CFTC issue identity theft rules *

USA - April 19 2013
Today, April 19, 2013, the Securities and Exchange Commission ("SEC") and the Commodity Futures Trading Commission ("CFTC") published in the Federal…

Co-authors: Ana-Maria Ignat.

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Enforcement heads reveal all at SIFMA annual seminar *

USA - March 22 2013
The federal sequester and recent Supreme Court decision in Gabelli et al. v. Securities and Exchange Commission, 568 U.S. ____ (2013), will not…

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FINRA proposes keeping the 5% rule on markups; also plans to revise QIB standards on debt securities *

USA - March 6 2013
In 2011, FINRA attempted to break the broker-dealer industry's habit of relying upon a 5% ceiling for equity markups by proposing a new FINRA Rule…

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