FINRA is scrutinizing options trading, and believes its ability to conduct surveillance in this area will increase substantially when a consolidated audit trail (CAT) is ...
If you're unclear about whether the SEC considers your firm a "municipal advisor" that must register as such with the Commission, don't hold your breath ...
The SEC last week announced an asset freeze against Western Financial Planning Corporation and its owner, Louis V. Schooler, accusing them of running a real ...
FINRA has conducted a targeted sweep of firms that operate Alternative Trading Systems (ATS), inquiring about the various levels of access available to ATS clients ...
The Securities and Exchange Commission is the agency tasked with enforcing the new Consumer Financial Protection Bureau rule on international money transfers as it applies ...
Failure to follow written supervisory procedures was the most prevalent type of violation among broker-dealers examined under NASAA's 2012 Broker-Dealer Coordinated Examinations Project, the group ...
Do you have an adequate supervisory system to detect for churning? A lot of firms don't, says Unbo (Bob) Chung, who is senior compliance counsel ...
A list of shortfalls in policies and procedures to prevent churning were the key violations cited in last week's SECsettlement with JP Turner and Co. ...
A recent FINRA proposal is aimed at making an aspect of arbitration easier and cheaper for member firms and associated persons.The proposal calls for FINRA ...
Eligible candidates who want to have their names added to the ballot for a seat to represent the North or West Region on FINRA's Small ...