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: FinancialCounselSecurities Regulator Reminds Financial Services Firms Of Their Obligations With Respect To Private Placement Recommendations
By James Eccleston
Citing "significant problems in several recent examinations and investigatgions", FINRA (the Financial Industry Regulatory Authority) has issued Regulatory Notice 10-22 to warn firms of their obligations in what has become a $609 billion market for private placement securities. The lengthy notice addresses several areas, including the general regulatory responsibilities of financial services firms which I will address in this article.
Full post as published by FinancialCounsel on June 07, 2010 (boomark / email).
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