FINRA alerts B-Ds to Form BR functionality enhancements for initial Form BR submissions and updated residential supervisory location FAQs
Broker-dealer failed to "reasonably respond" to trading in 100 customer accounts that appeared to be potentially excessive and unsuitable
New notice covers this year's CE Regulatory Element training assignments and calls out the Dec. 31 completion deadline
Having P&Ps in place to address OBA requirements falls short: the policies must be enforced
The case offers the lesson that you cannot leave sections of your WSPs essentially blank
Despite the numbers of broker-dealer firms continuing to fall, reps serving the brokerage industry have hit their highest level in five years
Firm charged with including impermissible confidentiality language in three settlement agreements with customers
Firm fined for failing to reasonably supervise the transmittal of customer funds through externally initiated ACH transfers by third parties
Barclays twice self-reported violations of the rules relating to research analyst conflicts of interest leading to a $700K fine
A FINRA review of a broker-dealer's advertised trading volume uncovered the overstating of volume on Bloomberg by 2.1 billion shares