Broker-Dealers

FINRA's heavily rewritten rules involving your firm's communications with the public are scheduled to take effect Feb. 4, 2013, the regulator said last week (Regulatory ...

FINRA Dispute Resolution is starting a new, voluntary pilot program July 2 designed to allow the parties in certain arbitration cases to tailor some of ...

On July 2, a new FINRA rule takes effect that places "revolving door" restrictions on FINRA "officers" - very high-level FINRA officials - who leave ...

Make sure your written supervisory procedures are appropriately designed to detect churning in your customers' accounts. FINRA recently fined a Bloomington, Ill. firm $75,000 for ...

As you try to come to grips with how your firm handles reps' use of social media, you might want to consider some statistics a ...

Remember that if you file Suspicious Activity Reports on July 1 or later, you've got to use the electronic filing system to do so. The ...

An employee could elect to go to the SEC with word of possible misconduct, bypassing your internal compliance program. But if the person alerts you ...

The MSRB might require underwriters and municipal advisors to publicly disclose payments they make, or receive, in connection with new issues of municipal securities. The ...

FINRA CEO Richard Ketchum said last week that if FINRA becomes the self-regulatory organization for investment advisers, he would support a de minimis registration fee ...

Reps who recommend complex products ideally should be trained well enough to develop a payoff diagram for the products to help clients analyze their features ...