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FINRA Regulatory and Examinations Priorities Letter

FINRA Regulatory and Examinations Priorities Letter

FINRA Regulatory and Examinations Priorities Letter

The 2009 week, FINRA printed its annual priorities letter. Again, FINRA includes one of the regions of concern private placements. FINRA cites particular issues associated with insufficient research by broker-dealers regarding the private placements, insufficient appropriateness assessments, misleading offering documents, and too little measures in choices which use escrow accounts. The letter also raises increased concerns in exempt choices involving using general solicitation. See: http://world wide web.finra.org/web/groups/industry/@ip/@reg/@guide/documents/industry/p602239.pdf.


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Comments ( 4 )
  1. colonelmattyman
    February 10, 2014 at 3:32 am

    Maybe they should spend the time educating parents on how to raise their children rather than introducing a blanket ban.

  2. marinemec
    February 12, 2014 at 3:32 am

    Cuomo’s aid? Who will watch Cuomo himself without nepitism?

  3. Led Trouse1
    February 12, 2014 at 3:32 am

    Okay, well, I played GTA V. All the characte1 had flaws/ were pretty much assholes; and the entire city of Los Santos was drowned in my virtual wave of Non-discriminatory Annihilation after I got ahold of military hardware. It’s a fucking video game.

  4. disqus_SWtjs6Midi
    February 14, 2014 at 3:32 am

    Including paper bags in the city’s legislation was an unfortunate mistake. Paper bags were used for a very long time in this city and used for trash, just as plastic bags are used today–at least in apartment buildings with a trash chute. You only need something to hold the trash until it gets down the chute. Paper is compostable and biodegradable. Now folks will buy plastic trash bags and the plastic will remain in the waste-stream, but the co1umer will be poorer. Trash bags are an unavoidable evil. Paper bags are more expe1ive, but including them in this disincentive works agai1t the possibility of encouraging groce1 to offer them again. Often paper is often stronger than plastic and does not always require double bagging.

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