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FINRA Rule 4210 is changing: six key questions

Rule 4210 as amended implements requirements on both maintenance margin and mark-to-market (or MTM) losses (sometimes referred to as variation margin). The changes to FINRA Rule 4210 were divided into two phases...more

11/17/2017  /  Broker-Dealer , FINRA , Margin Requirements , SEC

SEC provides relief to US firms attempting to comply with EU MiFID II's research "unbundling" provisions

The US Securities and Exchange Commission provided welcome relief for US broker-dealers engaging in securities business with European investment managers when it issued three no-action letters designed to balance the...more

FINRA revises and restructures registration and exam requirements

In a long-awaited move, the Securities and Exchange Commission recently approved a set of new rules proposed by the Financial Industry Regulatory Authority (FINRA) that revise and streamline the number and types of...more

NASAA adopts statement of policy to usher in e-delivery and e-signature for non-traded offerings

Under an initiative approved last week by the membership of the North American Securities Administrators Association (NASAA), sponsors, issuers, broker-dealers and others involved in the offer and sale of shares of non-traded...more

Interval Funds - at the Intersection of Liquidity, Transparency, and Valuation DLA Piper's handbook

As yet another demonstration of the investment management industry's ability to develop products to meet the demands of investors and their advisers, we have the "interval fund." These funds are SEC-registered closed-end...more

SEC's Division of Investment Management issues guidance for "robo-advisers" – key takeaways

The Staff of the SEC's Division of Investment Management (IM), in conjunction with the Office of Compliance Inspections and Examinations (OCIE), has issued its second Guidance Update of 2017. [1] This Guidance focuses on...more

New guidance from SEC aims to help investment management industry respond to fiduciary rule: a closer look

While not yet in force, the US Department of Labor's new fiduciary rule and related best interest contract exemption (together, the Fiduciary Rule) together are having a profound impact on mutual funds, particularly regarding...more

Proposed changes to REIT guidelines would introduce uniform “concentration” limit in NTR purchases

The North American Securities Administrators Association, Inc. (NASAA) has requested public comment on proposed amendments to its Statement of Policy Regarding Real Estate Investment Trusts (known as the REIT Guidelines). ...more

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