The SEC's Division of Corporation Finance has sent a letter so some banks expressing concern over how they label principal protected notes, and the disclosures ...
SEC Commissioner Daniel Gallagher recently said the Commission's enforcement efforts need to focus on small firms with weak compliance departments, arguing that fraud is probably ...
If you want to impress upon your reps the importance of keeping their residential address current on their Form U4s and Form U5s, noting the ...
With SEC staff having before them the huge task of drafting a uniform fiduciary standard for broker-dealers and investment advisers, let's compare some of the ...
No other branch of the SEC felt the scandal of the Madoff Ponzi scheme more acutely than the New York Regional Office. The case represents ...
A proposed MSRB rule to explicitly require broker's brokers to try to get a fair price for municipal securities could pose a real challenge when ...
The SEC's Office of Compliance Inspections and Examinations is reviewing a number of aspects of FINRA, including executive compensation and the effectiveness of FINRA's rules, ...
Former federal prosecutor Arnold Spencer, who's a partner in the Dallas office of Hayes and Boone, provided these tips for using the Financial Crimes Enforcement ...
You may use the new version of the Suspicious Activity Report now when you file electronically with the Financial Crimes Enforcement Network. But come April ...
If you hire a rep who immediately will be placed under heightened supervision, make sure you don't have gaps in those procedures. A hole in ...