FINRA has filed a proposal with the SEC to streamline competency exams and facilitate opportunities for those who seek to enter or re-enter the securities ...
More than 500 comments have flooded into the Labor Department about its proposal to delay for 60 days its fiduciary duty rule (IA Watch, March ...
Initial projections that FINRA would realize a record year for fines in 2016 (BD Watch, Oct. 13, 2016) have been confirmed. The SRO ordered a ...
The unionized OCIE examiner worked a four-day, 10-hour per day schedule that allowed him to take off Fridays. But the firm he was examining kept ...
Include in your definition of personally identifiable information any “security code, access code or password that would permit access to an individual’s financial account.” ...
The Federal Register has published the Labor Department’s 8-page proposed rule that would move its fiduciary duty rule’s applicability date to June 9th from April ...
The SEC has taken another step in its ongoing efforts to improve transparency in the municipal securities market. The Commission approved March 1 proposed amendments ...
If the new guidance from the SEC’s Division of Investment Management on what constitutes custody deprives the industry of an outright victory, it at least ...
At the beginning of the year, FINRA signaled in its 2017 examination priorities letter that it has enhanced its risk-based surveillance and examination programs to ...
If author Stephen King had it right when he said “brevity makes sweetness,” then the CFTC’s rules around bona fide hedging can seem as sour ...