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Corporate & Securities Law
: FinancialCounselSecurities Regulator Highlights Examination Priorities To Protect Investors
By James Eccleston
FINRA (the Financial Industry Regulatory Authority) has issued its publication, ?Improving Examination Results? to highlight ?examination priorities?. Many of the examination priorities relate to investor protection issues, including guidance regarding the recommendation of, and required risk disclosures for, purchases of auction rate securities. Let?s examine three of the more important investor protection issues.
Full post as published by FinancialCounsel on July 08, 2008 (boomark / email).
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