A broker-dealer settled FINRA charges for failing to review the suitability of investment recommendations in non-traded Real Estate Investment Trusts and for failing to timely respond to relevant customer complaints.
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NASAA extended the comment period on proposed revisions to its Statement of Policy Regarding Real Estate Investment Trusts.
NASAA requested comment on proposed revisions to its Statement of Policy Regarding Real Estate Investment Trusts. The deadline for public comment is August 11, 2022.
The SEC, the Federal Reserve Board, the OCC, the Department of Housing and Urban Development, the FDIC and the Federal Housing Finance Agency reassessed several provisions of the Credit Risk Retention Regulation and decided not to propose any changes at this time.
A firm settled FINRA charges for suitability and supervisory violations related to the sale of non-traditional and volatility-linked exchange traded products.