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Searching Content by Milena Muradian ordered by Published Date Descending.
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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
2
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
3
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
4
Department Of Labor Fiduciary Rule Update
In March 2018, the U.S. Fifth Circuit Court of Appeals vacated the DOL final 2016 regulation under Section 3(21) of the Employee Retirement Income Security Act of 1974, as amended on investment advice fiduciary status, ...
United States
10 Jun 2019
5
OCIE's Retail Investor Protection Focus
On April 29, 2019, Securities and Exchange Commission Office of Compliance Inspections and Examinations Director Peter Driscoll delivered a speech on the OCIE's 2019 priorities, in which he identified, among other priorities, the following:
United States
10 Jun 2019
6
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
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