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Sales Practices (46)
Your search for Sales Practices returned 46 results.
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8/23/2018 | Content area: Broker-Dealer
Don’t say you weren’t warned.   In early May, announcing a settlement with Fifth Third Securities over the marketing of variable annuities, a top FINR...
4/19/2018 | Content area: Broker-Dealer
The requirements for the job were straightforward—sought was an established boiler room operator with proven customer lists, an unregistered broker an...
4/12/2018 | Content area: Broker-Dealer
A targeted FINRA examination sweep—the first announced by the SRO for 2018—will focus on broker-dealers’ supervisory controls tied to products linked ...
4/20/2017 | Content area: Broker-Dealer
What does FINRA say about accepting sponsor payments for firm conferences? Are payments subject to dollar limits? Is there a disclosure requirement? I...
2/23/2017 | Content area: Broker-Dealer
At the beginning of the year, FINRA signaled in its 2017 examination priorities letter that it has enhanced its risk-based surveillance and examinatio...
1/12/2017 | Content area: Broker-Dealer
A “listening tour” commenced last August by then new FINRA president/CEO Robert Cook will bear fruit this year. Based on feedback that broker-dealers ...
12/15/2016 | Content area: Broker-Dealer
Along with everyone else in the financial services industry, FINRA has clearly been reading the stories detailing the Wells Fargo’s sales scandal (BD ...
12/01/2016 | Content area: Broker-Dealer
We are just over a month removed from seeing FINRA’s 2017 exam priorities, even while a holdover from the SRO’s 2015 exam priorities letter lingers—a ...
11/03/2016 | Content area: Broker-Dealer
Cross-selling programs of broker-dealers are now squarely in the crosshairs of FINRA. The SRO announced through the release of a targeted exam letter ...
11/03/2016 | Content area: Broker-Dealer
FINRA has signaled in the past that broker-dealers that sell mutual fund “L- shares” to variable annuity clients should anticipate heightened scrutiny...
8/11/2016 | Content area: Broker-Dealer
It’s been nearly two years in the making but FINRA is now moving on proposed amendments and new rules tied to gifts, gratuities and non-cash compensat...
5/05/2016 | Content area: Broker-Dealer
Materially inaccurate information in nearly three quarters of the variable annuity replacement applications approved by a MetLife broker-dealer subsid...
9/17/2015 | Content area: Broker-Dealer
You could see this one coming.  Back in its 2014 Regulatory and Examination Priorities Letter, FINRA signaled that it would be expanding its “high-ris...
9/17/2015 | Content area: Broker-Dealer
This summer, Wells Fargo, Raymond James, and LPL Financial were ordered by FINRA (IA Watch, July 7, 2015) to pay more than $30 million in restitution ...
1/01/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
Section 24(e) of the Act requires that when a prospectus is revised so that it may be available for use in compliance with section 10(a)(3) of the Sec...
12/11/2014 | Content area: Investment Adviser | Private Fund
Advisers know that if a portfolio manager makes a trade error, it’s perfectly acceptable to reimburse a client’s account (IA Watch, Nov. 7, 2011). But...
10/09/2014 | Content area: Investment Adviser | Broker-Dealer
You’re likely to read future SEC enforcement actions related to poor compliance P&Ps for checks made prior to transactions. That conclusion can be dra...
5/26/2014 | Content area: Broker-Dealer | Private Fund
A year has passed since SEC official David Blass created a stir by reminding the industry that receiving transaction-based compensation may require a ...
4/04/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
This is a proposed rule from 2014 concerning investment company advertising for target date funds. It seeks additional comments after a proposed revis...
7/10/2013 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
This is the SEC's final rule from 2013 removing the ban on solicitation for certain private fund offerings under rule 506.


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