Broker-Dealers

To help ensure proper supervision of private placements, your supervisory procedures must explain in detail how private placement due diligence is conducted, by whom it's ...

Make sure your firm has a supervisory system to prevent reps from marketing and selling to non-accredited investors those products specifically designed for accredited investors. ...

If you underwrite municipal securities, regulators will expect you to provide the issuer more comprehensive disclosures than you have in the past, thanks to a ...

FINRA is having second thoughts about its plan to eliminate guidance that says 5% is generally too high a commission to charge for equity securities ...

To keep tabs on your reps' personal trading, focus on things such as watch lists, holding periods, and possible front-running, suggests Carol Beckett, compliance manager ...

FINRA Board Member Joel Blumenschein has stepped down from that position in the wake of disclosures that the self-regulatory organization last month suspended him from ...

If you're responsible for arranging the independent test of your firm's anti-money laundering program, make sure that test scrutinizes what's happening in your firm's different ...

FINRA reminds in a recent podcast of the types of complex products that could be considered complex and, therefore, in need of heightened review. It ...

It was the failure to have supervisory procedures tailored to address non-traditional exchange-traded funds, and the failure to craft rep training programs covering the risks ...

The Treasury Department's Financial Crimes Enforcement Network last week entered into new territory by forging Memoranda of Understanding in which the regulator will share important ...