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FrontLine Compliance News Archives 2008
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FrontLine Compliance in the News
Hot Issues
- Proposed changes to NASD IM-2110-4, trading ahead of research reports - comment period ends 12/18/08
- Summary prospectus, new delivery options for mutual funds approved by SEC
- SIFMA amicus brief on behalf of Bear Stearns prime brokerage and its control over customer accounts
- IAA comment letter on SEC study of mark-to-market accounting
- SEC no-action letter on establishing a Global Credit Facility under section 17(d) - issued 11/21/08
- FINRA Regulatory Notice on 2009 renewals through Web CRD/IARD - deadline 12/12/08
- NYSE proposed rule amendment allows sub-penny increments for equities priced less than $1.00/share
- SEC Chairman warns not to cut back on compliance
- Summary of SEC core initial request for investment advisers
- SEC interim final rule on temporary exemption for certain money market funds
- FINRA provides new account application template
- SEC final temporary rule on short selling disclosures - effective until 8/1/09
- FINRA Regulatory Notice on proposed research analyst conflict of interest rules
- Industry letter issued to Fed on OTC derivatives markets
- ICI comment letter - SEC guidance on duties of fund boards to oversee investment adviser portfolio trading
- FinCEN news release - certain proposed AML program rules withdrawn
- FTC delays Red Flags Rules for financial institutions until 5/1/09
- Firm Element Advisory issued for Fall 2008
- SEC rule proposal on indexed annuities - comment period extended to 11/17/08
- SEC's plan for 21st Century Disclosure Initiative
- President's Working Group update on recent market events
- Agenda for CCOoutreach National Seminar scheduled for 11/13/08
- Regulators release joint report for firms with senior investors
- SEC and FASB provide clarification on fair value accounting
- FINRA Regulatory Notice on changes to customer complaint reporting
- SEC approves rule change on trading ahead of customer limit orders
- ICI issues FAQs on Treasury's Temporary Guarantee Program for Money Market Funds
- FINRA Regulatory Notice on short selling, SEC Rule 204T procedures for market makers
- NASAA comment letter on SEC's proposed rule for equity-indexed annuities
- SEC news release on OIG reports and end of Consolidated-Supervised Entity (CSE) Program
- FINRA Regulatory Notice on transaction reporting for foreign securities - effective date 10/27/08
- FinCEN guidance on when brokers and dealers act as a money transmitter
- SEC announces new CCOoutreach National Seminar - to be held 11/13/08
- SEC statements on short selling emergency order, extended to 10/17/08
- SEC issues guidance on disclosures for company websites
- SIFMA comment letter on FINRA consolidation of rules for annual CEO certification
- SEC announces new AML compliance initiatives
- NASAA announces new Senior Summit to be held 9/22/08
- FINRA Information Notice on supplement to Options Disclosure Document (ODD)
- ICI comment letter on SEC Summary Prospectus
- IAA comment letter on proposed Form ADV, Part 2
- FINRA issues trade reporting FAQs
- SEC issues new ComplianceAlert
- SEC no-action letter on solicitors to hedge funds
- FINRA proposes new advertising rules on variable insurance products - comment period ends 9/30/08
- ICI task force report on derivatives
- SEC provides guidance for Emergency Order on short selling
- FINRA interpretive memo on Auction Rate Securities (ARS)
- ICI releases new study on fund proxy votes
- NASAA requests comments on proposed investment adviser model rules
- SEC, Fed sign information sharing agreement
- FINRA proposed changes to Rule 2821 sales practice and supervisory components
- SEC rule proposal seeks to clarify status of indexed annuities - comment period through 9/10/08
- SIFMA comment letter on FINRA's proposed rules for supervision and supervisory controls
- NASAA issues news release on legislation to enhance penalties for senior investor fraud
- Firm Element Advisory Update issued by Securities Industry/Regulatory Council on Continuing Education
- FinCEN update on BSA obligations of US clearing firms dealing with foreign introducing firms
- Challenges ahead for dual registrant broker-dealers to operate efficiently (InvestmentNews 6/2/08)
- FINRA Regulatory Notice provides guidance on illiquid investments
- FINRA online workshop on AML suspicious activity reporting (SARs)
- FINRA requests comments on rules for supervision and supervisory controls - expires 6/13/08
- SEC to propose interactive database for mutual fund "comparison shopping"
- FINRA Regulatory Notice on supervision of reps using misleading marketing materials
- ICI comment letter on SEC proposal to simplify launch of ETFs
- SEC approves amendment eliminating requirement for SROP and CROP - effective 6/23/08
- IAA comment letter on SEC proposed amendments to Form ADV, Part 2
- FINRA issues guide for improving examination results
- The future of the independent broker-dealer model (Investment Advisor Magazine 6/1/08)
- Recent rule change related to third-party research reports - FINRA podcast
- President's Working Group releases best practices for hedge funds
- New electronic Form NMA filing required by FINRA - compliance date 6/26/08
- SIFMA recommendations for AML provisions under USA PATRIOT Act
- FINRA seeks to delay portion of Rule 2821 through proposed rule change
- FINRA Investor Alert on equity-indexed annuities
- SIFMA comment letter on MSRB proposal for auction rate securities (ARS) website
- IAA comment letter to SEC on RAND report
- Guidance on "rogue" trading issued by FINRA
- FINRA webcast on preparing for cycle exams
- SEC release on proposed changes for Rule 2220, options communications with the public
- NASAA model rule for senior designations
- FINRA issues new examination priorities letter
- FINRA Regulatory Notice on proposed changes for Forms U4 and U5
- Treasury fact sheet on "Blueprint for a Modernized Financial Regulatory Structure" - released 3/31/08
- SEC approves amendment to Rule 2210 on exception for principal approval
- Process revised for SRO rule changes - effective 4/28/08
- FinCEN issues FAQs on AML requirements for insurance co.s
- SEC proposed rule to amend Reg S-P
- Changes to Form ADV, Part 2 proposed by SEC
- FINRA Information Notice on rulebook consolidation process
- SEC approves delay of Rule 2821 principal review and approval to 8/4/08
- FINRA teleconference on deferred variable annuities - 4/18/08
- SEC proposes to amend Reg S-P
- Changes to Form ADV, Part 2 proposed by SEC
- GAO releases report on hedge funds
- FINRA issues new guidance on Rules 3012 and 3013
- Regulators announce initiative to protect senior investors
- IAA comments on new ERISA proposed regulation
- ICI comment letter on proposed Summary Prospectus
- SEC reviewing how mutual fund directors might delegate duties (InvestmentNews 2/11/08)
- SIFMA white paper - best execution and fixed-income securities
- FINRA podcasts on variable annuities and electronic
communications
- New Forms U4, U5 and BR - effective 2/4/08
- Interagency statement on structured finance activities
- ICI comment letter on Rule 2821
- FINRA webcast on supervision issues and senior customers
- New Section 17 No-Action Letter on money funds
- Series 24 accepted under NYSE Rule 342.13
- DOL proposed ERISA rule on compensation
- Broker-Dealer CCOutreach Program - 3/7/08
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