| Displaying 391 - 400 (of 417) | < Prev Page Page 40 of 42 Next Page > |
| Clarifications to New Suitability and Know Your Customer Rules Underscore Their Importance |
| Posted on Friday, September 7, 2012 at 12:54 PM |
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Overview: On July 9, 2012 new FINRA Rule 2090 and FINRA Rule 2111 will take effect. The goal of FINRA (the Financial Industry Regulatory Authority) is to “strengthen, streamline and clarify” those very important investor protection rules. Read More » |
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| SEC’s Financial Literacy Study Reveals Significant Financial Illiteracy of Investors |
| Posted on Wednesday, September 5, 2012 at 12:51 PM |
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The Dodd-Frank Act (more formally known as the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010) requires the SEC (Securities and Exchange Commission) to conduct a study to identify the existing level of financial literacy among retail investors as well as to identify methods and efforts to increase the financial literacy of investors. At long last, the study has arrived. Read More » |
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| Understanding the Basic Risks Associated With Oil and Gas Drilling Investments |
| Posted on Thursday, August 23, 2012 at 12:51 PM |
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Investors considering an oil and gas investment will be warned that oil and gas exploration is “speculative”. Read More » |
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| Guidelines to Improve Disclosure of Risk Benefit Both Financial Advisers and Their Clients |
| Posted on Thursday, July 5, 2012 at 12:50 PM |
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Risk disclosure is everywhere. Yet, it seldom is complete or easy to understand. Read More » |
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| SEC’s Complaint Against OptionsXpress Alleges Complex Trading Scheme Based Upon Some Simple Proofs |
| Posted on Wednesday, April 18, 2012 at 12:18 PM |
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The SEC (Securities and Exchange Commission) has instituted cease-and-desist proceedings against Chicago-based optionsXpress, a retail, online brokerage firm specializing in options and futures, as well as its chief financial officer and one of its retail customers. Read More » |
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| Financial Advisers in Motion; A Primer On the Employment Issues Facing Those in Transition |
| Posted on Monday, April 9, 2012 at 12:17 PM |
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We often consult financial advisers who are transitioning their employment to a new firm. Financial services attorneys need to be mindful of issues unique to employees in the financial services industry. Let’s overview the key issues. Read More » |
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| SEC Issues Investor Alert and Underwriter Best Practices for the Issuance of Municipal Bonds |
| Posted on Monday, March 19, 2012 at 12:16 PM |
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The Securities and Exchange Commission (SEC) has issued investor and underwriter guidance with respect to municipal bonds. Read More » |
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| FINRA’s Amended Complaint Against Non-Traded REIT Promoter Underscores Risky Nature of Investment |
| Posted on Thursday, February 16, 2012 at 12:15 PM |
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Recently, the Financial Industry Regulatory Authority (FINRA) filed an amended disciplinary complaint against David Lerner Associates, Inc. (“DLA”) in connection with its recommendations and sales of Apple REIT Ten. Read More » |
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| Securities Regulators Focus On Complex Products To Better Protect Investors |
| Posted on Tuesday, January 31, 2012 at 12:14 PM |
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FINRA (the Financial Industry Regulatory Authority) has issued a warning to financial services firms that they need to heighten their supervision of and compliance procedures associated with complex products. Read More » |
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| SEC’s Complaint Against Life Partners Underscores Senior Protection Issues With Life Settlements |
| Posted on Friday, January 6, 2012 at 12:12 PM |
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The Securities Exchange Commission (SEC) began 2012 by charging Life Partners Holdings Inc. and three of its senior executives for their “involvement in a fraudulent disclosure and accounting scheme.” Read More » |
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| Displaying 391 - 400 (of 417) | < Prev Page Page 40 of 42 Next Page > |
