Bates Research  |  01-10-14

Complex Product Suitability

On January 2, FINRA published its regulatory and examination priorities, highlighting what it sees as significant risks and issues in today’s market environment.  In the area of suitability, FINRA specifically identified complex products and interest-rate-sensitive fixed income products as a focus for scrutiny.


Bates Research  |  01-03-14

FINRA and Non-Traded REITs

FINRA is in the process of rolling out new regulations which will govern non-traded REITs, one of the fastest growing investment vehicles in the last few years for retail investors.


Bates Research  |  12-27-13

The “Volcker Rule”

On December 10, five U.S. regulators agreed to formally impose trading restrictions on U.S. banks.


Bates Research  |  12-20-13

Federal Reserve Tapering

This last Wednesday the Federal Reserve announced that it would begin tapering its purchase of securities, winding down the third round of its quantitative easing program (QE3) that commenced in September of last year.


Bates Research  |  12-13-13

Money Market Reform

The SEC has proposed new changes to the way that money market funds operate, potentially disrupting a $2.6 trillion market. 


Bates Research  |  12-05-13

Verizon Debt Issuance

In a record setting deal, Verizon issued $49 billion worth of bonds in connection with its $130 billion buy-out of Verizon Wireless from Vodafone.


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