Broker-Dealers

FINRA's Enforcement Division alleges that a former rep for Chase Investment Services Corp. stole more than $400,000 from customer accounts at the firm's affiliate, JP ...

The compliance date for most broker-dealers to comply with the record keeping, reporting and monitoring requirements under the SEC's large trader rule has been postponed ...

Steven Trigili, the CCO of Garden State Securities in Red Bank, NJ, tells BD Week how he handles the Firm Element Advisory:"There are a couple ...

Your reps need to know enough about the private placements they recommend to assess whether your firm's due diligence efforts regarding those securities were reasonable. ...

A House bill released last week allows for multiple SROs for IAs serving retail clients. It differs in many ways from a draft bill circulated ...

Turning over to FINRA copies of your Suspicious Activity Reports when asked, checking over your procedures regarding wiring customer funds to third parties, and noting ...

The SEC's Division of Corporation Finance has sent a letter so some banks expressing concern over how they label principal protected notes, and the disclosures ...

SEC Commissioner Daniel Gallagher recently said the Commission's enforcement efforts need to focus on small firms with weak compliance departments, arguing that fraud is probably ...

If you want to impress upon your reps the importance of keeping their residential address current on their Form U4s and Form U5s, noting the ...