FINRA examiners will be on the lookout to see that firms that deal in munis are complying with a wide range of requirements, including those ...
A recent FINRAsettlement shows clearly the perils of a compliance officer having designated supervisory responsibilities over certain firm operations - especially over activities conducted by ...
The Financial Crimes Enforcement Network has posted on its website a recording of its Sept. 18th informational webinar on the use of the BSA E-Filing ...
The new president of the North American Securities Administrators Association said the organization needs to continue to fight efforts to preempt the power of state ...
A new investor bulletin from the SEC encourages investors to ask financial professionals they're thinking of using about their disciplinary history.The bulletin advises that the ...
For the third time in four years, the U.S. Supreme Court will hear a case involving an investment adviser that could have broad ramifications for ...
If you provide individual brokerage accounts in participant-directed retirement plans, expect the plan sponsor to approach you and seek certain information about your fees and ...
Firms are grappling with a provision in FINRA's new suitability rule that categorizes an explicit recommendation to hold securities as one that must comply with ...
If you allow reps to use a block trading account, make sure you adequately monitor the trading in it. Gaps in one firm's oversight enabled ...
Gary Goldsholle, vice president and associate general counsel at FINRA,is headed over to the Municipal Securities Rulemaking Board, where he will be general counsel. At ...