September Regulatory Updates from Cari Hopsfenperger at Foreside.
Topics include:
- SEC Tells Advisors How to Manage Retail Accounts
- Risk Alert – Observations Regarding Fixed Income Principal and Cross Trades by Investment Advisors from An Examination Initiative
- Attention FinOps: FINRA Updates Interpretations of Financial and Operational Rules
- FINRA Adopts New Rule Addressing the Operation of Inter-dealer Quotation Systems
- When Products are This Complicated, Training is Not Enough
- A Day (or a Year) Late and a Dollar Short – SEC Charges 27 Financial Firms for Form CRS Filing and Delivery Issues
- Three Blind Mice – The Latest Trio of Share Class Selection Disclosure Cases
- Classic Example of Suitability Violations Involving Structured Products
