In This Issue:
Regulatory Updates -
FINRA overhaul of communications rules becomes effective and ICI and CoC appeal Rule 4.5 ruling.
Enforcement + Litigation -
Enforcement Division priorities target hedge...more
- ALJ Brokers CoC Enforcement Fines FINRA Hedge Funds ICI Investment Adviser Investment Funds SEC Stock Repurchases Valuation
In its annual summary of regulatory and examination priorities, the Financial Industry Regulatory Authority (FINRA) signaled that it will aggressively pursue market misconduct. The January 11, 2013 report follows closely on...more
- Broker-Dealer Compliance Cybersecurity FINRA Investment Adviser Investors
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