{"id":8558,"date":"2016-08-05T08:38:31","date_gmt":"2016-08-05T12:38:31","guid":{"rendered":"https:\/\/qa.bluevaultpartners.com\/?post_type=news&p=8558"},"modified":"2016-08-05T08:38:31","modified_gmt":"2016-08-05T12:38:31","slug":"finra-launches-exam-sweep-of-business-development-companies","status":"publish","type":"post","link":"https:\/\/qa.bluevaultpartners.com\/finra-launches-exam-sweep-of-business-development-companies\/","title":{"rendered":"Finra launches exam sweep of business development companies"},"content":{"rendered":"

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Finra launches exam sweep of business development companies<\/h1>\n

One area the regulator is focusing on is brokers who have selling agreements with each BDC<\/h4>\n

Aug 4, 2016 @ 1:46 pm |\u00a0<\/span>By Mark Schoeff Jr.<\/a>\u00a0| Investment News<\/p>\n

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Finra has launched an examination sweep of nontraded business development companies, the latest alternative investment product to receive increased scrutiny from the broker-dealer regulator.<\/p>\n

In an exam letter<\/a> posted on its website Thursday, the Financial Industry Regulatory Authority Inc. said it is requesting a list of BDCs offered by Finra members as well as a list of the brokers who have selling agreements with each BDC.<\/p>\n

The organization also is seeking a copy of the firms’ due diligence procedures for evaluating the BDC and participating brokers.<\/p>\n

Article Located Here<\/a><\/p>\n

<\/div>","protected":false},"excerpt":{"rendered":"

    Finra launches exam sweep of business development companies One area the regulator is focusing on is brokers who have selling agreements with each BDC Aug 4, 2016 @ … <\/p>\n

Read more<\/a><\/p>\n","protected":false},"author":6,"featured_media":6742,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"_et_pb_use_builder":"","_et_pb_old_content":"","_et_gb_content_width":"","footnotes":""},"categories":[3010,2929],"tags":[],"class_list":["post-8558","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-asset-manager-news","category-nontraded-bdc"],"acf":[],"yoast_head":"\nFinra launches exam sweep of business development companies - Blue Vault<\/title>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/qa.bluevaultpartners.com\/finra-launches-exam-sweep-of-business-development-companies\/\" \/>\n<meta property=\"og:locale\" content=\"en_US\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"Finra launches exam sweep of business development companies - 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