News & Analysis as of

Individual Retirement Account (IRA) Real Estate Investment Trust

Broker-Dealer Compliance + Regulation

FINRA Issues a Packed Priorities Letter for 2015

FINRA opened 2015 with a lengthy and ambitious agenda of regulatory priorities. This year’s Regulatory and Examination Priorities Letter is much longer than those issued the last two years, and repeats many of those years’...more

Carlton Fields

State Regulators Eye Complex Products Marketing

Carlton Fields on

Joseph P. Borg, Director of the Alabama Securities Commission, and James R. Mumford, First Deputy Insurance Commissioner in Iowa, raised state securities and insurance regulatory concerns at this summer’s Insured Retirement...more

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