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News Media & Pressroom

FLC in the News

  • JUL 2008 - FrontLine introduces new program for Rule 2821 compliance (7/29/08)
  • MAY 2008 - Lynch speaks on senior investor compliance at SIFMA conference
  • MAY 2008 - Lynch provides tips on new VA Rule in BD Week article (5/12/08)
  • APR 2008 - Arvantides quoted in BD Week article on senior designations (4/14/08)
  • APR 2008 - Introducing ComplianceConnect for Strategic Partners
  • MAR 2008 – Lynch Presents on Compliance for Hard-to-Value Securities
  • MAR 2008 - Lynch interviewed by BD Week on identity theft prevention (3/3/08)
  • JAN 2008 - Lynch Speaks at ALI-ABA Investment Adviser Regulation Event
  • DEC 2007 - BD Week interviews Amy Lynch on business continuity plans (12/3/07)
  • OCT 2007 - Lynch Addresses New Variable Annuity Rule at SIFMA Conference
  • AUG 2007 - Lynch Presents on Rule 2821 at Teleconference Sponsored by The Knowledge Congress Listen
  • JUN 2007 - Lynch Speaks at June Conferences Sponsored by Financial Research Associates
  • MAY 2007 - Leading business intelligence publication interviews Amy Lynch on hedge fund regulation (5/2/07)
  • APR 2007 - Lynch Speaks at April SIFMA Conference
  • MAR 2007 - Lynch Speaks at Conferences Sponsored by Institutional Investor and Financial Research Associates
  • FEB 2007 - Amy Lynch comments on best practices for new products in BD Week Article (2/5/07)
  • FEB 2007 - BD Week interviews Amy Lynch about Rule 3012 Compliance (2/5/07)
  • JAN 2007 -  Amy Lynch quoted in BD Week article on NASD-NYSE Merger (1/29/07)
  • OCT 2006 - Lynch Presents at BD Week's Compliance Conference
  • SEP 2006 - BD Week Interviews Lynch About Ad Compliance
  • SEP 2006 - George "Chip" Arvantides Joins FLC as Executive VP
  • AUG 2006 - FINalternatives article on FLC Hedge Fund Edge program, Page 6 (8/11/06)
  • AUG 2006 - FrontLine Compliance Introduces New Hedge Fund Service
  • JUL 2006 - FLC President Addresses Financial Research Associates Conference on Soft Dollar Compliance
  • JUN 2006 - FrontLine Compliance Official Launch Press Release

    • News Media

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  • Compliance Reporter
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  • Financial Times
  • Breaking Views
  • Institutional Investor
  • National Underwriter
  • Bloomberg.com
    •

    Article Archives (newest first)

  • 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
  • Calendar of 2007-2008 FINRA filing due dates - Information Notice
  • Stepped-up enforcement by SEC of firms using “off the shelf” non-customized compliance programs (InvestmentNews 12/3/07)
  • FINRA proposes delaying principal review and approval portion of VA Rule 2821
  • ICI comment letter on SEC exemptive application process
  • FINRA guidance on review and supervision of electronic communications
  • FINRA updates and modifies key qualification examinations
  • GAO report shows SEC needs to improve oversight of SROs
  • OSJ definition revised again
  • IAA comment letter on Treasury's review of regulatory structure
  • AML crackdown - firm expelled for AML rules violations
  • FINRA's regulatory applications accessed through new Firm Gateway
  • Inaugural SEC/FINRA CCOutreach program for BDs to be held 3/7/08
  • FINRA finalizes new VA Rule 2821 - effective 5/5/08
  • SEC provides sample format for proposed summary prospectus
  • FINRA 2008 Renewal Program Bulletin - renewal payments due 12/10/07
  • SEC approves new NASD Rule 2290 on fairness opinions - effective 12/8/07
  • Firm charged under investment adviser compliance rule for having pre-packaged policies and procedures
  • ICI provides recommendations on application of international accounting standards to funds
  • SIFMA comment letter on regulatory structure for financial institutions
  • NASAA examinations uncover investment adviser deficiencies
  • FINRA issues Regulatory Notice on registration renewal process - begins 11/5/07
  • NSCP publishes white paper on firms' obligations to senior customers
  • Joint comment letter issued by SIFMA and IAA seeks guidance on gifts and entertainment under ERISA
  • SEC approves Rule 2342 setting forth requirements for providing SIPC information to customers - effective 11/6/07
  • IAA comment letter to SEC seeks revisions of limited offering exemptions in Reg D
  • FINRA issues Regulatory Notice about web site references and limitations on the use of FINRA's name
  • New FINRA webcast on outside business activities and private securities transactions
  • SEC proposes to reinstate fee-based brokerage exemptions
  • SEC provides relief to dual registrants regarding principal transactions
  • VA Rule 2821 finally approved by regulators
  • SEC and Federal Reserve approve Regulation R
  • New no-action relief regarding adviser Custody Rule
  • NASAA comments on changes to
    Form D
  • FINRA issues alert to members on dealing with Seniors
  • U.S. Treasury forms advisory group on Hedge Funds
  • ICI supports tax flow-through provisions for foreign shareholders
  • FINRA allows multiple CCOs and CEOs for Rule 3013 reviews
  • SEC clarifies FAS 140 regarding Mortgage Loan Accounting
  • NAVA and FSI partner to endorse Electronic Annuity Sales for Independent Brokers
  • FPA urges SEC to provide exemptive relief to dual registrants' Principal Trading
  • SEC proposes modifications to the exemptions under Reg D
  • Rule 206(4)-8 Anti-Fraud Provision for Hedge Funds is finalized
  • ICI provides testimony regarding Computer Model Investment Advice Programs
  • IAA comment letter to the SEC on revisions to Rule 204-2
  • Reg S-P clarified for FINRA firms offering funds and variable products
  • Rule 2790 modified for issuer-directed offerings- effective September 5, 2007
  • SEC seeks comment on proposed changes to Rules 144 and Rule 145 regarding public resales of unregistered securities
  • ICI comments on the SEC's Rule 12b-1 review
  • President of ICI speaks on the role of Independent Counsel to Fund Boards
  • IAA comment letter to the SEC regarding Adviser Act revisions
  • Several Industry Groups comment to DOL on improved 401(k) disclosures
  • NYSE and NASD issue joint guidance regarding Electronic Communications
  • IAA, NAPFA, and FPA issue joint SEC Comment Letter on fee-based accounts
  • ICI Releases its study on Fees and Expenses of Mutual Funds
  • NASD Chairman introduces new combined SRO, SIRA (Wall St Journal)
  • New Proposed Rule addresses Private Securities Offerings
  • SEC Approves expanded IM-2110-2 to cover OTC Equities
  • IAA issues letter to Canadian Securities Administrators on Registration
  • Spitzer forms NY State Commission to Modernize Regulation of Financial Services (New York Times)
  • SEC announces new Roundtable on Rule 12b-1 fees set for June 19th
  • IAA issues SEC Comment Letter on Model Privacy Form and Reg S-P
  • See ICI Chairman’s opening remarks to the 2007 ICI General Membership Meeting, May 9th
  • LISA and LSI issue comments to NAIC on Viatical Settlements Model Act
  • NASD issues guidance on how to Improve Examination Results
  • SEC extends comment period on proposed Financial Responsibility Rule to June 18th
  • Comment period for NASD IM-3060 Business Entertainment to expire June 12th
  • SEC approves NASD IM-2440-2, Debt Mark-Ups
  • IAA to offer Webinar on Wrap/SMA Accounts, May 17th
  • IARD now accepts Form ADV Part II
  • Merrill Rule Vacated by DC Court!
  • ICI Comments on FASB Valuation Guidance
  • Q&A on NASD FINOP Issues
  • NASD & NYSE issue Release on Section 311 of Patriot Act
  • ICI Comments on DOL Cross-Trade Interim Final Rule
  • NASD Comments on “Broker” Exception for Banks
  • NASD Webcast for new member firms: Filing the U4 and U5
  • FSI White Paper on Independent Broker-Dealers
  • ICI Recommends Mutual Fund “Quick Start Guide"
  • SEC Rule 415 and PIPE Offerings
  • ICI Comment Letter on Research Analyst Conflicts
  • New NASD Webcast: Life Settlements
  • NAVA's 24 Standards for Straight Thru Processing (STP) for Annuities
  • SEC No-Action Letter regarding hedge clauses in contracts
  • Letter to NASD firms from Robert Errico on 2007 Exam Priorities 
  • NASD guidance on Supervising New Reps’ Replacement Activity
  • NASD offers new Risk Monitoring Reports to member firms
  • SIFMA Comments on Revisions to Rule 105 of Reg M. Short Selling in Connection with a Public Offering
  • 2007 Daylight-Saving Time Changes may affect BCP- See SIFMA Guidance
  • ICI Comments on the Pension Protection Act of 2006
  • ICI Addresses the Redemption Fee Rule - Compliance Date April 16th
  • New Interagency Statement on Private Pools of Capital (hedge funds)
  • SEC Extends Compliance Dates for Reg NMS
  • SEC No-Action Letter Provides Relief for Research Service Providers
  • SEC No-Action Relief for Unregistered Funds and Affiliated Transactions with Registered Investment Companies
  • Interagency Statement on Complex Structured Finance Transactions
  • NASAA’s 2007 Agenda
  • NASD Codifies Rule 2711 Interpretations
  • Non-Public Broker-Dealers Get  Continued SEC Relief for Financial Filings
  • 2007 Firm Element Advisory Released by Securities Industry/Regulatory Council
  • NASD issues interpretive letter on Annual Compliance Meetings
  • Specter Drafts Insider Trading Bill for Hedge Funds
  • ICI 2006 Annual Report
  • NASD offers online workshop on Best Practices of Small Firms- January 10th
  • NASD Report on Examination Findings Regarding Gifts and Gratuities
  • Payment Deadline for 2007 registration renewals is 12/8/2006
  • Final Amendment to SEC’s Tender Offer Best Price Rule
  • Rule 3170 Electronic Filing Requirements for Certain NASD Notices for 2007
  • Amendments to NASD Rule 2340 on  Customer Account Statements
  • SEC’s Lori Richards speaks on The Process of Compliance
  • SEC testimony to Senate on Insider Trading
  • Futures Merchant Brokers: SEC proposes changes to Net Capital Rule to match CFTC Rule
  • ICI & SIA provide Sample Model Contractual Clauses for Revised IC Rule 22c-2
  • BCP’s & pandemic relief: Bond Market Assn & SIA provide comments to NASD
  • IAA comments on Executive Compensation Rule
  • NASD Webcast: What to Expect When Filing Communications with NASD
  • NASD Report Center offers new 3070 Report on Disclosures
  • NASD revises sanction guidelines
  • ICI supports Credit Rating Agency Bill
  • SEC amends fund redemption fee rule
  • New NASD Podcast: Life Settlements
  • NASD proposes amendments to rules on public offerings
  • NASD firms must update NCS contact information by 10/24/06
  • ICI comments on proposed changes to MSRB Rule G-21
  • SEC adopts Executive Compensation disclosure rules SEC provided no-action relief to hedge fund advisors
  • SEC approves amendments to NASD Rule 2211 requiring  Principal Pre-Use Approval of certain correspondence
  • SEC provides temporary relief from Rules 17a-3 and 17a-25 relating to the NASDAQ Exchange
  • New NASD Podcast: Equity Indexed Annuities
  • NASD and NYSE Release on US Patriot Act Section 311
  • NASD makes changes to certain exam requirements
  • NASD Podcast: Outsourcing
  • NASD’s Mary Shapiro speaks at SEC Seniors Summit
  • NASD proposal on use of NASD name on member firm websites
  • SEC seeks amendments to Reg SHO
  • Comments on Investment Company Governance Rule due 8/21/06 U.S. Court of Appeals strikes down Hedge Fund Rule
  • SEC Approves new NASD Rule 3210- Short Sale Delivery Requirements effective July 3, 2006
  • SEC Approves new Short Interest Reporting Requirements, effective 7/3/06
  • NASD Webcast for Registered Representatives: Communications with the Public
  • SEC Adopts New Fund of Funds Rules
  • NASD Podcast: Understanding Supervisory Controls
  • NASD Changes Registration Filing Applications System, effective 7/3/06
  • Recent Morningstar White Paper on Mutual Fund Industry
  • Robert Errico’s Letter to NASD Member Firms
  • Annuity Roundtable Update
  • Recent SEC Press Release on Reg NMS
  • IAA and ICI issue joint guidelines for subadviser due diligence
  • Rule 3013- NTM 06-11
  • Branch Office Definition Refined- NTM 06-12
  • SEC Chairman Cox testifies before Senate Banking Committee
  • Reg NMS- Recent comments by SEC Commissioner Atkins
  • Proposed Rule 3060- NTM 06-06
  • Sell annuities? Recent NASD webcast on Equity Indexed Annuities
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