The Communications with the Public section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
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GUIDANCE
Private Placements of Tenants-in-Common Interests
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Internal Audit
Legal & Compliance
Registered Representatives
Retail
Senior Management
Broker-Dealer Registration
Due Diligence
Non-Conventional Investments
Private Placements
Real Estate
Rule 2420
Suitability
Executive Summary
This Notice addresses Section 1031 tax-
This data provides aggregate market activity for corporate bonds, agency bonds and 144a bonds (144a bonds are private placement securities subject to SEC Rule144A), using end-of-day data for days the system is open. Data is not available for days the system is closed. Please refer to Systems Calendar. (View the data for multiple days simultaneously here.) Learn more about bonds.
The advances,
The Communications with the Public section of the 2021 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
SEC Approves a Limited Exception From FINRA Rule 5131(b) to Permit Firms to Rely Upon a Written Representation From Certain Unaffiliated Private Funds
Agenda*This agenda is subject to change. Monday, May 12 - Pre-Conference2:00 p.m. – 4:30 p.m.Cyber Tabletop Exercise (pre-registration required)5:00 p.m. – 6:30 p.m.New Attendee Reception (pre-registration required)5:00 p.m. – 7:00 p.m.Registration & Information Tuesday, May 137:30 a.m. – 6:00 p.m.Registration & Information8:00 a.m. – 9:30 a.m.Senior
Please note: The following information is intended to provide a general overview of the permitted activities of various registration categories, but it is not an exhaustive list. Please refer to Regulatory Notice 17-30, FINRA Rule 1220 and, regarding retired exam categories, NASD Rule 1032 for further details.
Series 6 - Investment Company Products/Variable Contracts Limited Representative
FINRA views the protection of senior investors, as well as baby boomers who are retired or approaching retirement, as a top priority. Because a large number of American investors are approaching retirement and control a substantial portion of investment assets, FINRA encourages firms to review and, where warranted, enhance their policies, procedures and practices, in light of the special issues common to many senior investors. For example, a firm's procedures and controls should take into consideration the age and life stage (whether pre-retired, semi-retired or retired) of their customers. Of particular concern to FINRA is the suitability of recommendations to senior investors, communications targeting older investors, and potentially abusive or unscrupulous sales practices or fraudulent activities targeting senior investors.
In response to request for comment: Current, licensing requirements for real estate capital transactions (e.g., private debt and equity placements, M&A, and Sales) are too numerous (e.g., SIE, S63, S22, S79, and S82), overlapping, time consuming, and do very little to protect investors (Accredited Investors and Institutions). This is further compounded by additional licensing requirements
