FINRA recently fined a New York broker-dealer $315,000, and fined its former CCO $15,000 for supervisory and other violations relating to interaction between the firm's ...
One of the new areas on NASAA's 2012 list of the top ten products or practices investors need to be careful about involves advice from ...
Don't blame the heat from a hotly contested election for no sign that the SEC is prepared to move forward with a proposal to extend ...
Last week, we told you about a branch office manager who was disciplined by FINRA for supervisory failures when it came to overseeing a rep ...
If your firm offers retail clients international money transfer services, brace for the possibility that you could be covered under a new Consumer Financial Protection ...
Examiners from the SEC will focus in the months ahead on whether firms in the municipal securities business are following the MSRB's rule that seeks ...
FINRA has sued a Calif.-based company that provides test-prep training for individuals taking securities exams, alleging that company employees infringed on the regulator's copyright by ...
FINRA last week issued an Information Notice encouraging firms potentially affected by Hurricane Isaac to prepare to implement business continuity plans. It said that in ...
Enforcement of AML rules might increase as a result of a new director coming to the Treasury Department's Financial Crimes Enforcement Network.With the appointment of ...
The SEC recently wired $50,000 into a bank account, representing the initial payout from the agency's new whistleblower office post-Dodd-Frank reforms. The payday for the ...