We have broad and deep expertise in the FINRA rules, including training by FINRA at the Wharton CRCP program and the review of policy and procedure manuals from all types of firms across the country.
We have broad and deep expertise in the FINRA rules, including training by FINRA at the Wharton CRCP program and the review of policy and procedure manuals from all types of firms across the country.
On July 9, 2012, FINRA Suitability Rule 2111 took effect. This update of Rule 2310 added a formal quantitative suitability criteria. Accelerant has developed a statistical technique for analyzing customer accounts for quantitative suitability. It is designed to generate red flags when certain account traits exceed defined thresholds. Instead of setting these thresholds at fixed…
We have experience running our own Registered Investment Advisory firm and family office and have testified in many RIA cases.
Accelerant has consulting and testifying experience in many different types of private placements. We have evaluated and sold private placements while at Merrill Lynch as well as from our Registered Investment Advisory firm. We have reviewed thousands of private placement prospectuses, offering memorandums, and circulars.
We have consulted and testified in multiple litigations involving structured products and have extensive academic and industry experience in the evaluation and analysis of structured products.
Accelerant has consulted and testified in numerous securitized product litigations, including a $220 million Auction Rate Securities regulatory matter for the FINRA Department of Enforcement.
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