Benjamin Coulter

Benjamin Coulter

Burr & Forman


Latest Publications

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Banking & Financial Services E-Note - April 25, 2013

In This Issue: - Regulators Could Step in with Tougher Rules as Bank Profits Rise - Bill Would Force Study of Basel III Impact on Bank Capital Costs - Regulator Wants Enforcement Powers Against Bank...more

4/26/2013 - Barack Obama CFPB Compliance Cyber Attacks Cybersecurity Enforcement Extensions FDIC Federal Reserve Living Will Loans Mortgages Profits SEC Small Business

Burr Alert: Proposed FINRA Rules Governing Markups, Commissions And Fees

Through its recent Regulatory Notice 13-07, the Financial Industry Regulatory Authority ("FINRA") announced and sought comments on its proposed amendments to rules governing markups, markdowns, commissions and fees associated...more

4/10/2013 - Broker Commissions Brokers Fees FINRA Markups

Banking & Financial Services E-Note - March 28, 2013

In This Issue: - Global Banking Group Calls for Several Rates to Replace Libor - U.S. Applies Money-Laundering Rules to "Virtual Currencies" - SEC Says Big Banks Don't Have to Hold Shareholder Break-Up Votes -...more

4/3/2013 - CFPB Credit Unions International Accounting Standards Board Libor Loans Money Laundering SEC Shareholder Votes Small Business Student Loans TARP Virtual Currency

Corporate & Tax E-Note - March 28, 2013

In This Issue: - SEC Yet to Release Jumpstart Our Business Startups Act Guidelines - IRS Crackdown on Contract Workers Has Small Businesses Concerned - Accelerated Filers Found to be Filing More Restatements -...more

4/3/2013 - Audits Board of Directors CEOs Class Action Cyber Attacks Cybersecurity Divorce Family Businesses Filing Requirements IPO IRS JOBS Act SEC Small Business Tax-Exempt Bonds

Burr Alert: FINRA Amends Subpoena And Arbitrator Order Rules

In its recent Regulatory Notice 13-04, the Financial Industry Regulatory Authority ("FINRA") announced amendments to its Customer and Industry Codes of Arbitration Procedure related to subpoenas and arbitrator orders for the...more

3/27/2013 - Arbitration Discovery Document Productions FINRA Subpoenas

Burr Alert: FINRA Updates Guidance On Its Suitability Rule

In its Regulatory Notice 12-55, the Financial Industry Regulatory Authority ("FINRA") has updated its guidance on FINRA Rule 2111 concerning suitability. This is FINRA's fourth regulatory notice concerning the rule -- it...more

12/19/2012 - Broker-Dealer FINRA Investment Adviser Suitability Rule

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