SEC staffers last week told the Commission that the consolidated audit trail (CAT) will ease the burden of broker-dealers providing order data to investigators and ...
FINRA is making about $35 million in new spending cuts this year, the regulator says in its recently released annual financial report for 2011. The ...
The following are the investor profile facts that you are supposed to try to collect from each retail customer under FINRA's new suitability rule: Age; ...
In light of FINRA's new suitability rule, expect the regulator to pay very close attention to what you're doing to ensure your reps don't recommend ...
FINRA's new pilot for large arbitration cases provides much-needed flexibility, says a Sutherland lawyer who represents firms. Meanwhile, a lawyer who works for investors sees ...
A recent FINRA settlement is an example of the regulator holding a compliance professional personally liable for compliance shortfalls even though he didn't engage in ...
Early on under FINRA's new suitability rule, examiners conducting cycle exams are likely to ask for signs that you're capturing the customer information the rule ...
FINRA is increasing a host of fees, many of which haven't been raised in years, the self-regulatory organization points out in Regulatory Notice 12-32. Among ...
Enter the Consumer Financial Protection Bureau, that controversial entity established by Dodd-Frank. Recently, its Office for Older Americans put out an invitation for comments by ...
Remember the Federal Trade Commission's "Red Flag Rule," which the SEC and CFTC are now charged with re-proposing and implementing? (BD Week, March 5, 2012). ...