Kip Nesmith

Kip Nesmith

Burr & Forman

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A New Prosecutorial Frontier: SEC Seeks Bans on Municipal Officials

The Securities and Exchange Commission (“SEC”) was recently granted a preliminary agreement by a federal judge to bar a municipal official from participating in future bond sales. As reported by the Wall Street Journal, the...more

12/23/2014 - Municipal Bonds Municipal Employees SEC Strategic Enforcement Plan

FINRA Announces New Proposal for Brokerage Data Collection

On September 30th, the Financial Industry Regulatory Authority (FINRA) announced a proposed rule that would implement the controversial Comprehensive Automated Risk Data System (CARDS). Under the proposed rule, FINRA seeks to...more

10/7/2014 - CARDS Data Brokers Data Collection FINRA Securities Litigation

Banking & Financial Services E-Note

In This Issue: - Appeals Court Says Dodd-Frank Clause Violates 1st Amendment - Basel Committee Eases Derivatives Rule for Banks - CFPB Revises International Money Transfer Rule - AG Seeks More Enforcement...more

5/1/2014 - Banks Bitcoins CFPB Cyber Attacks Cybersecurity Data Protection Derivatives Dodd-Frank FHA First Amendment Money Transfer Retailers

Closed End Funds

The Financial Industry Regulatory Authority (“FINRA”) has, in recent months, increased its regulatory focus on investor awareness regarding closed-end funds (“CEFs”). In October of last year, FINRA issued an Investor Alert...more

4/15/2014 - Brokers Closed-End Funds FINRA Investors IPO Merrill Lynch Mutual Funds NAV Securities UBS

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