FINRA recently sent a sweep letter (or targeted exam letter) to select broker dealers, inquiring about those firms’ sale of non-traded Business Development Companies (BDCs). BDCs are SEC-registered investment companies
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CFPB Observer: Recent Developments from Feb. 9-13, 2015
By Gil Rudolph on
Posted in CFPB, Client Alert
The authors discuss current developments with the Consumer Financial Protection Bureau (CFPB) including an issued report and consumer advisory on reverse mortgages, an enforcement action against a non-bank mortgage lender…
Continue Reading CFPB Observer: Recent Developments from Feb. 9-13, 2015