Search Results - subject:"FINRA"

FINRA issues interpretive guidance on related performance in institutional communications

Caccese, Michael S.; Pagnano, Clair; Rohrer, Eden; … - In: The journal of investment compliance 18 (2017) 4, pp. 36-39

Persistent link: https://www.econbiz.de/10011808470

An overview of the FINRA Rule 4210 margin amendments

Mathews, Nikiforos; Robison, Jonas - In: Journal of Investment Compliance 18 (2017) 4, pp. 31-35

-be-announced” (TBA) transactions on mortgage-backed securities pursuant to recently-amended FINRA Rule 4210. Design … into compliance with the amended rules. Findings The compliance date for margining under FINRA Rule 4210 is approaching …

Persistent link: https://www.econbiz.de/10014893863

FINRA issues interpretive guidance on related performance in institutional communications

Caccese, Michael S.; Pagnano, Clair; Rohrer, Eden; … - In: Journal of Investment Compliance 18 (2017) 4, pp. 36-39

Purpose To analyze the June 9, 2017 Financial Industry Regulatory Authority, Inc. (“FINRA”) interpretive letter … application of FINRA Rule 2210, and explains the conditions under which fund marketing materials may contain Related Performance … Related Performance Information of open- and closed-end funds to institutional investors, it also represents FINRA’s ongoing …

Persistent link: https://www.econbiz.de/10014893865

The Market for Financial Adviser Misconduct

Egan, Mark L.; Matvos, Gregor; Seru, Amit - 2016

Persistent link: https://www.econbiz.de/10013342528

The market for financial adviser misconduct

Egan, Mark L.; Matvos, Gregor; Seru, Amit - 2016

Persistent link: https://www.econbiz.de/10012295274

Changes in analysts' stock recommendations following regulatory action against their brokerage

Call, Andrew C.; Sharp, Nathan Y.; Wong, Paul A. - In: Review of accounting studies 24 (2019) 4, pp. 1184-1213

Persistent link: https://www.econbiz.de/10012135788

Practical tips for satisfying FINRA's "culture" concerns

Nathan, Daniel A. - In: The journal of investment compliance 18 (2017) 1, pp. 8-14

Persistent link: https://www.econbiz.de/10011662040

Securities regulators' overlapping priorities provide guidance for examination preparation

Nathan, Daniel A.; Marshall, Elizabeth - In: The journal of investment compliance 18 (2017) 1, pp. 15-18

Persistent link: https://www.econbiz.de/10011662048

The municipal advisor regulatory framework : where we are and where to next

Lanza, Ernesto - In: The journal of investment compliance 18 (2017) 1, pp. 53-57

Persistent link: https://www.econbiz.de/10011662083

Are your customer accounts in order? : SEC announces sweep of broker-dealers and implementation of the customer protection rule initiative

Beck Mitchum, Melissa; Xiong, Bob - In: The journal of investment compliance 18 (2017) 1, pp. 68-74

Persistent link: https://www.econbiz.de/10011662150