{"id":4556,"date":"2008-01-23T09:33:55","date_gmt":"2008-01-23T09:33:55","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2008\/01\/sec_finra_begin_probe"},"modified":"2021-09-20T15:44:06","modified_gmt":"2021-09-20T20:44:06","slug":"sec-finra-begin-probe","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/sec-finra-begin-probe\/","title":{"rendered":"SEC &#038; FINRA Examine CMO Sales and Marketing Practices"},"content":{"rendered":"<p>\t\t\t\tThe Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) have each began their own investigations into the sales and marketing practices of certain collateralized mortgage obligations (CMOs), <\/p>\n<p>FINRA sent more than 12 broker-dealers a sweeps letter requesting more information about: the sales of principals only, interest only, and inverse floater trenches of CMOs and details about actions taking place between June 30, 2006 and July 31, 2007.<\/p>\n<p>FINRA specifically requested:<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.investorlawyers.com\/blog\/sec-finra-begin-probe\/\"  title=\"Continue Reading SEC &#038; FINRA Examine CMO Sales and Marketing Practices\" class=\"more-link\">Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) have each began their own investigations into the sales and marketing practices of certain collateralized mortgage obligations (CMOs), FINRA sent more than 12 broker-dealers a sweeps letter requesting more information about: the sales of principals only, interest only, and inverse floater trenches [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3862],"tags":[],"class_list":["post-4556","post","type-post","status-publish","format-standard","hentry","category-collateralized-mortgage-obligations"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>SEC &amp; FINRA Examine CMO Sales and Marketing Practices &#8212; Investor Lawyers Blog &#8212; January 23, 2008<\/title>\n<meta name=\"description\" content=\"The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) have each began their own investigations into the &#8212; January 23, 2008\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.investorlawyers.com\/blog\/sec-finra-begin-probe\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"SEC &amp; FINRA Examine CMO Sales and Marketing Practices &#8212; Investor Lawyers Blog &#8212; January 23, 2008\" \/>\n<meta name=\"twitter:description\" content=\"The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) have each began their own investigations into the &#8212; January 23, 2008\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Shepherd Smith Edwards &amp; Kantas, LLP\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"1 minute\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"SEC & FINRA Examine CMO Sales and Marketing Practices &#8212; Investor Lawyers Blog &#8212; January 23, 2008","description":"The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) have each began their own investigations into the &#8212; January 23, 2008","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.investorlawyers.com\/blog\/sec-finra-begin-probe\/","twitter_card":"summary_large_image","twitter_title":"SEC & FINRA Examine CMO Sales and Marketing Practices &#8212; Investor Lawyers Blog &#8212; January 23, 2008","twitter_description":"The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) have each began their own investigations into the &#8212; 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