Broker-Dealers

FINRA's case against Brookstone Securities - which was fined $1 million last week after a hearing panel determined it reaped big commissions by fraudulently making ...

FINRA officials say examiners won't shy away from asking what's happening on the investment adviser side of a dually registered firm if they're following a ...

The SEC will encourage FINRA to take a retrospective look at its rules' effectiveness, the Commission said in response to a GAOreport on its oversight ...

Effective July 9, the MSRB is changing its definition of "sophisticated municipal market professional" (SMMP) to make it consistent with FINRA's new definition of institutional ...

The exception reports you receive from your clearing firms need to detect trends of suspicious activity over time if you're relying heavily on them for ...

Firms need to improve their disclosure of conflicts of interest, FINRA CEO Richard Ketchumsaid recently.That's one of a range of compliance-related updates Ketchum gave the ...

FINRA conducted about 800 branch office exams in 2011, increasing the 2010 level by about 300, senior staff said recently at FINRA's annual conference. A ...

Consider conducting unannounced inspections of your branch offices on a random basis - as opposed to relying just on a triggering event. That's a change ...

Here's another reason to debrief staff when they return from an industry conference. A few years ago, Reema Shah ran into Robert Kwok "in a ...

Exchange-traded funds and reverse-leveraged exchange-traded funds continue to be on the watch list of FINRA's Enforcement Division, a senior FINRA staffer said last week. Recently, ...