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

1. FINRA Sanctions 8 Firms for Insufficient Private Placement Due Diligence (11/30/2011)

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)

4. BD Whacked with $1 Million Fine for Late Prospectus Delivery (5/6/2011)

5. SEC Pursues Fund Execs for Misleading Marketing Activities (1/12/2011)

6. FINRA Rule Requiring Licensing of Ops Personnel Approved by SEC (6/20/2011)

7. FINRA Charges BD for Failing to Second-Guess NAVs (6/1/2011)

8. Massachusetts Pursues Out-of-State Firms for Failing to Register (3/9/2011)

9. FINRA Requires Reporting of All Securities Law Violations (2/22/2011)

10. New FINRA Rule Would Require Point-of-Sale Disclosure of Mutual Fund Revenue-Sharing (5/17/2011)