... Financial Industry Regulatory Authority (FINRA) Self-reporting 529 Plan Share Class Initiative 529 savings plans Share class fee structures Supervisory systems and procedures Firms are encouraged to review their supervisory systems and procedures, including possible failure to: Provide...

.... Richard F. Kerr can be contacted at: rkerr@klgates.com © K&L Gates LLP. 2019 K&L Gates LLP. Licensed re-use rights only Financial industry regulatory authority (FINRA) FINRA rule 2210 Passively managed open-end funds Pre-inception index performance data (PIP data) FINRA...

..., share class issues, and inadequate resources. Findings In 2018, the Financial Industry Regulatory Authority (FINRA) ordered fewer fines than in 2017, and the number of cases and amount of restitution were down. Practical implications Firms and their representatives should heed the trends in both...

...Brant K. Brown; James E. Anderson; P. Georgia Bullitt; Amelia A. Cottrell Purpose To explain two new Financial Industry Regulatory Authority (FINRA) rule provisions, effective February 5, 2018, that were designed to provide firms with more effective tools to address suspected financial...

... 2018 Sidley Austin LLP. 2018 2018 Sidley Austin LLP. Licensed re-use rights only Financial Industry Regulatory Authority (FINRA) Regulatory US Securities and Exchange Commission (SEC) Broker-dealers Registered representatives Securities enforcement On February 23 and 24, 2018...

...Brian Rubin; Adam Pollet Purpose The purpose of this paper is to analyze the Financial Industry Regulatory Authority’s (FINRA) 2017 disciplinary actions, the issues that resulted in the most significant fines and restitution and the emerging enforcement trends from 2017 and beyond. Design...

...-and-examination-priorities-letter Securities and Exchange Commission (SEC) Financial Industry Regulatory Authority (FINRA) Broker-dealer On January 8 the Financial Industry Regulatory Authority (FINRA) published its Annual Regulatory and Examination Priorities Letter[ 1 ], which highlights key areas...

...Edward J. Johnsen; John H. Grady Purpose To explain a new set of rules, detailed in FINRA Regulatory Notice 17-30, proposed by the Financial Industry Regulatory Authority (FINRA) and approved by the US Securities and Exchange Commission (SEC), that revise and streamline the number and types...

...@orrick.com © 2017 Orrick, Herrington & Sutcliffe LLP. 2017 2017 Orrick, Herrington & Sutcliffe LLP. Licensed re-use rights only Financial Industry Regulatory Authority (FINRA) US Securities and Exchange Commission (SEC) Broker-dealer FINRA Rule 4210 TBA transactions Amendments...

... the same investor protection concerns as communications provided to retail investors. Originality/value Expert guidance from experienced investment management and investment fund lawyers. Institutional investors Financial Industry Regulatory Authority (FINRA) Closed-end registered investment...

... Financial Industry Regulatory Authority (FINRA) Broker-dealer regulation Restructuring and insolvency Securities enforcement and regulation The Final Rule preserves the existing right of a records entity to provide a representative of the Commission with an original regulatory record...

... partnership. One Logan Square, Ste. 2000, Philadelphiam PA 19103-6996 (215) 988-2700 office (215) 988-2757 fax. Financial Industry Regulatory Authority (FINRA) Disclosure Report Explained decision Securities arbitration Securities mediation Statement of Claim If you are involved...

... over a given time period. Russell Sacks can be contacted at: russell.sacks@shearman.com © 2017 Shearman & Sterling LLP 2017 Shearman & Sterling LLP Licensed re-use rights only Financial Industry Regulatory Authority (FINRA) Social media Broker-dealer Digital...

... in the offering documents. Margaret Sheehan can be contacted at: margaret.sheehan@ashurst.com © Ashurst LLP. 2017 Ashurst LLP Licensed re-use rights only Marketing Training Financial Industry Regulatory Authority (FINRA) US Securities and Exchange Commission (SEC) Structured products...

.... 2017 Chapman and Cutler LLP Licensed re-use rights only Financial Industry Regulatory Authority (FINRA) Social media Digital communications Rule 2210 The Financial Industry Regulatory Authority, Inc. (“FINRA”) released additional guidance on social media and digital communications...

... valuable information about recent FINRA Rules and guidance from an experienced investment management lawyer. Matthew J. Kutner can be contacted at: mkutner@mofo.com © Morrison & Foerster LLP. 2017 Morrison & Foerster LLP Licensed re-use rights only Financial Industry Regulatory...

... Financial Industry Regulatory Authority (FINRA) US Securities and Exchange Commission (SEC) Anti-money laundering Bank Secrecy Act (BSA) Registered investment advisors (RIAs) US Treasury Department Financial Crimes Enforcement Network (FinCEN) MoneyGram International Inc.’s ex-chief compliance...

... rights only Financial Industry Regulatory Authority (FINRA) Enforcement Sanctions Fines Disciplinary action Restitution In 2016, the Financial Industry Regulatory Authority (FINRA) fined firms and individuals $176 million, shattering the previous record set in 2014. Combined with nearly...

... Act). Design/methodology/approach Examines the posture of the SEC, MSRB and Financial Industry Regulatory Authority (FINRA) upon completion of the MSRB’s core regulatory framework for municipal advisors. Explores threshold issues in determining municipal advisor status, approaches for preparing...

...Daniel A. Nathan; Elizabeth Marshall Purpose To summarize and interpret the examination priorities for 2017 published in early January by the Financial Industry Regulatory Authority (“FINRA”) and the Office of Compliance Inspections and Examinations (“OCIE”) of the Securities and Exchange...