The SEC approved a new FINRA rule (FINRA Rule 2081) prohibiting member firms and associated persons from conditioning the settlement of a customer dispute on expungment relief from the Central Registration Depository (“CRD”). The CRD system is an online registration...
Representing financial professionals, financial institutions and investors in investment loss, employment and disclosure matters, and in regulatory investigations nationwide.
Month: July 2014
BROKER DEALERS MUST IMPLEMENT REVIEW OF INTERNAL COMMUNICATIONS BY DEC. 1, 2014
Chicago Attorneys Rule Alert: REVIEW OF INTERNAL COMMUNICATION December 1, 2014: Deadline for broker- dealers to implement review of internal communications related to investment banking and...
BE WARY OF WEARING TOO MANY HATS
Chicago Attorneys Investment management firms should make the effort to segregate the operations of affiliated entities that avail themselves of the separate registration exemptions under the Advisers Act for Private Fund Advisers,[1]...
