Paula Miterko

BDs/RIAs – Something New and Different in Private Placement Disclosures

 BDs/RIAs should be aware of changes they may be seeing in current PPMs due to varying interpretations of the July 1, 2020 FINRA Regulatory Notice 20-21, providing guidance on NTM 2210, relating to communication with the public on DPPs.  In the Notice FINRA indicates they may feel it unreasonable to have public communication which includes …

BDs/RIAs – Something New and Different in Private Placement Disclosures

CUSIP Volume Surges in September Led by Higher Corporate and Municipal Totals

 S&P Global* reports that CUSIP* request volume surged significantly across corporate and municipal issuers, reversing a trend of flat to declining volumes of the prior two months.  The September volumes were driven by an almost 85% monthly increase in requests for corporate debt identifiers and an 18% request for corporate equity identifiers.  North American corporate …

CUSIP Volume Surges in September Led by Higher Corporate and Municipal Totals