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Our Take Blog
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Our Take Blog
June 25, 2010
FINRA Levies $4.3 Million in Fines on CDS Brokers for Price Communications
FINRA has fined a CDS broker-dealer and several individual brokers a total of $4.3 Million in…
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June 24, 2010
Mass. Sues Bank Affiliated BD for Failing to Discipline Brokers
The Massachusetts Securities Division has filed an administrative complaint against a bank-affiliated broker-dealer for failing to…
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June 22, 2010
SEC Charges CDO Manager with Overpaying for MBS to Protect Clients and Inflate Fees
The SEC has charged a CDO collateral manager with purchasing CDOs at inflated prices in order…
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June 21, 2010
FINRA Coordinator Program to Focus on Surveillance
In a letter describing FINRA’s 2009 Year in Review, FINRA Chairman and CEO Richard Ketchum writes…
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June 17, 2010
SEC Proposal Would Ban Suitability Statements in Fund Ads
As part of its proposal for new marketing and advertising rules for target date funds, the…
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