Branch Office

Cybersecurity is one of the top risks facing broker-dealers, according to a new report on FINRA examination findings released Dec. 8 by the SRO (BD ...

In a nod to advances in communications technology, increased acceptance of flexible work arrangements and the costs affixed to on-site inspections of remote office locations, ...

Mike Lundy had run Primerica Financial Service’s office in Rapid City, S.D., for so long that it could have been assumed that everything was hunky-dory. ...

If your firm is following the trend of more IAs opening up branch offices, you’re advised to develop compliance P&Ps for monitoring the locations.    ...

Staff intends to focus on registered investment advisers that provide advisory services from multiple locations. The examinations will focus on evaluating the design and effectiveness ...

FINRA has been doing a lot more exams of branch offices (IA Watch, June 16, 2016). Here are some tips on how you can survive ...

FINRA is increasingly targeting branch-office inspections. The topic ranked fourth in a discussion of “Top Regulatory Concerns” at the SRO’s recent annual conference in Washington, ...

A manipulative trading scheme to artificially inflate the market price and trading volume for the common shares of IceWEB has led to the barring from ...

You could see this one coming.  Back in its 2014 Regulatory and Examination Priorities Letter, FINRA signaled that it would be expanding its “high-risk broker ...

An SEC examination of 10 broker-dealer branch offices that distribute structured securities products shows B-Ds have work to do when it comes to the implementation ...