Your issuer client is getting ready to launch a high-yield debt offering. When you get to the office and check your messages, you learn that your client has a couple of questions about the representation in the purchase...more
3/6/2014
/ Banking Sector ,
Broker-Dealer ,
CFTC ,
Federal Reserve ,
Financial Industry Regulatory Authority (FINRA) ,
Margin Calls ,
NYSE ,
Regulation T ,
Regulation U ,
Regulation X ,
Securities and Exchange Commission (SEC)
Your good client Socrates is on the line. Socrates — who gave up a promising career in philosophy to take up professional soccer — has an ethics question for you. No, he is not asking you to explain Stoicism, Epicureanism or...more