Make sure your branch office supervisors perform their duties up to snuff.FINRA recently fined a Houston-based firm $150,000 under a settlement that cited violations with ...
Thanks to a new study by SEC staff, FINRA now has the data to back up its push for broker-dealers to disclose conflicts of interest ...
BD Week is taking its scheduled break. The next issue of BD Week will be e-mailed on Aug. 31.
Kevin Carreno, a securities lawyer and part-owner of International Assets Advisory, LLC in Orlando, Fla., won the Small Firm Governor seat that was open on ...
A provision in the SEC whistleblower program rule is aimed at discouraging a whistleblower from disrupting his or her firm's internal investigation of the potential ...
The key message from the SEC's $6.5 million fine against Wells Fargo Securities last week is that reps really need to understand the securities they ...
Sterner levels of due diligence by savvy investors, especially institutions, have led to increasing requests for advisers to fork over more documents, including their most ...
The MSRB is pondering increasing the amount of information dealers must publicly disclose about their contributions to bond ballot campaigns. The board said the action ...
You would do well to make sure your firm has devised policies and procedures to manage conflicts of interest even if your firm didn't receive ...
A FINRA hearing officer recently fined Los Angeles-based Wedbush Securities $300,000 and firm president Edward William Wedbush $25,000, after finding that despite repeated warnings from ...