When it comes to branch office audits, you'd better have surprise audits in your branch inspection program, speakers at a recent BD Week webinar stressed. ...
FINRA recently issued answers to four Frequently Asked Questions regarding reporting issues dealing with the Trade Reporting and Compliance Engine system. One of the answers ...
The Municipal Securities Rulemaking Board is seeking qualified applicants to fill seven positions on the board starting Oct. 1, 2012, it announced last week. The ...
A new study funded by a coalition of industry groups concludes that it would cost each advisory firm more than $51,000 a year in fees ...
The calculation you use to determine whether someone is an "accredited investor" in the context of Regulation D offerings changes Feb. 27 to exclude the ...
When your firm is adopting a technological change - such as upgrading your e-mail-retention system - make sure you conduct sufficient testing to ensure the ...
A change FINRA has proposed to its arbitration system would assure that employees would have a right to file more kinds of claims against your ...
The SEC's decision to cease using the "neither admit nor deny" language in settlements when there's been a parallel criminal conviction isn't expected to affect ...
The SEC last week issued an Investor Alert aimed at protecting investors from fraud conducted over social media sites. Among the warnings: Be wary of ...
It's been about a year since California's law changed in a way that would force placement agents to register as lobbyists when seeking business involving ...