Kip Nesmith

Kip Nesmith

Burr & Forman

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Latest Publications


FINRA’s Cancelled CARDS

A little over one year ago, the Financial Industry Regulatory Authority (FINRA) announced a proposal to increase substantially its collection of brokerage data. That proposal, named the Comprehensive Automated Risk Data...more

11/6/2015 - CARDS Cybersecurity Data Security FINRA

Concerns Mount over Department of Labor’s Proposed Fiduciary Rule

The Department of Labor (“DOL”) released a controversial proposed rule on April 20, 2015, that seeks to expand fiduciary duties in the context of retirement-investment advice. Specifically, the proposed rule would rework a...more

6/2/2015 - 401k Benefit Plan Sponsors DOL ERISA Fiduciary Duty FINRA Proposed Regulation Retirement Plan SEC SIFMA

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 Bitcoin CFPB Cyber Attacks Cybersecurity Data Protection Derivatives Dodd-Frank Fair Housing Act (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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