Posts in Policies and Procedures.
In a noteworthy action resulting from a lack of action in monitoring client accounts, the U.S. Securities and Exchange Commission ("SEC") fined three Raymond James entities $15 million for failing to conduct promised suitability reviews for certain advisory accounts invested in unit investment trusts ("UITs").
The Office of Compliance Inspections and Examinations (OCIE) released a risk alert outlining findings of examinations it conducted as part of its Supervision Initiative...
Posted in Disclosures, FINRA, Form U5, Office of Compliance Inspections and Examinations (OCIE), Policies and Procedures
While exchange-traded funds (ETFs), a hybrid investment product, have been a staple of modern investing since the early 90s, the Securities and Exchange Commission (SEC) has been slow to create a proper regulatory framework for this $3.4 trillion market....
Posted in Exchange-Traded Funds (ETFs), Investment Company Act, Policies and Procedures, Rule 6c, Securities and Exchange Commission (SEC)
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