Top 10 Regulatory Alerts - Distribution and Broker-Dealers 2010
We continue our look back at the most significant regulatory developments for 2010. Earlier this week, we delivered the Top 10 Regulatory Alerts - Compliance and Operations, and the Top 10 Regulatory Alerts - Funds. Today, we list 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 - Distribution and Broker-Dealers 2010
1. SEC Adopts Pay-to-Play Rules; Allows Solicitation Payments to RIAs and BDs (7/1/10)
2. Private Equity Firm to Pay $7 Million in SEC Pay-to-Play Case (4/16/10)
3. Municipal Advisors and Solicitors Must Register By October 1 (9/3/10)
4. SEC’s Interp Requires Exclusion of Home Mortgage Debt for Accredited Investors (8/18/10)
5. FINRA Considering Broker-Dealer ADV (10/28/2010)
6. California Requires Solicitors to Register as Lobbyists and Prohibits Contingent Compensation (10/15/10)
7. RIA Sanctioned for Ignoring Due Diligence Red Flags (4/1/10)
8. Regulators Issue Best Practices Report for Working with Seniors (8/16/10)
9. SEC Says that Introducing Capital Requires BD Registration (5/19/10)
10. FINRA Warns Firms to Conduct Due Diligence of Private Placements (4/21/10)
Posted by Todd Cipperman at 12/30/2010 7:00 AM 
Categories: General
Tags: top 10 regulatory alerts distribution brokerdealers
Categories: General
Tags: top 10 regulatory alerts distribution brokerdealers
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