Tom Lauerman
Jorden Burt LLP
Articles
Perfect storm for money market funds
USA - February 15 2013 The potentially life-threatening regulatory maelstrom in which money market funds (MMFs) now find themselves picked up force in November last year…
Mutual funds and insurance companies eye major swap participant definition
USA - August 27 2012 In April, the CFTC and SEC (the Commissions) finalized rules defining what swap or security-based swap activities will cause a person or company to be a major swap participant or a swap dealer under Dodd-Frank.
FINRA targets broker-dealer conflicts of interest
USA - August 7 2012 FINRA is asking selected broker-dealer firms about conflicts of interest to which they are subject and how they are managing those conflicts.
The potential of rising standards for insurance product sales materials
USA - June 4 2012 Litigation always has the potential to influence issuers’ business considerations, including those relevant to the materials used in connection with sales of their products.
FINRA debuts new dispute resolution forum
USA - February 15 2013 FINRA recently announced that its dispute resolution forum is now available for disputes between registered investment advisers that are not member…
