Top 10 Regulatory Alerts â€“ Distribution 201 1
As 2011 draws to a close, we look back on the most significant regulatory developments for the year. In the past two days, we delivered the Top 10 Regulatory Alerts â€” Compliance and Operations and the Top 10 Regulatory Alerts â€” Funds. Today, we look back on the Top 10 Regulatory Alerts – Distribution and Broker-Dealers. For your convenience, the date of each Alert is included so that you can go back and read it again on our blog: blog.cipperman.com.
Top 10 Regulatory Alerts â€” Distribution 2011
2. FINRA Fines Closed-End Fund Distributor $3 Million for Misleading ARPS Marketing Materials (5/25/2011)
3. New FINRA Rule Requires Filing of PPMs and Disclosure (10/20/2011)
5. SEC Pursues Fund Execs for Misleading Marketing Activities (1/12/2011)
7. FINRA Charges BD for Failing to Second-Guess NAVs (6/1/2011)
9. FINRA Requires Reporting of All Securities Law Violations (2/22/2011)