Broker-Dealers

The SEC and CFTC are now the agencies charged with implementing - for the entities they regulate - the FTC's Red Flag Rule to prevent ...

Stressing that "AML should be among the forefront of broker-dealers' compliance concerns," a high-ranking SEC official says the Commission has raised its expectations and is ...

Make sure your firm's policies and procedures effectively ensure it's using fair pricing and best execution in regards to fixed-income transactions. This includes the need ...

That 1-1 Commission vote a few weeks ago dismissing the failure-to-supervise case against Ted Urban, the former general counsel at Ferris Baker Watts in Baltimore ...

The SEC "Risk Alert" on unauthorized training, issued last week, includes a number of approaches to attack the problem. Some of the notable ones focus ...

A FINRA arbitration panel last week found that four related investor claimants filed a "frivolous" claim against a Los Angeles-based broker-dealer and one of its ...

FINRA says there will be some new changes to BrokerCheck by July that stem from Dodd-Frank's efforts to improve investor access to broker-dealer and investment ...

More than 1,000 applicants filed to become RIAs between January 1 and last week. The agency aims to approve new applications within 45 days, meaning ...

The SEC has warned that there's a bogus e-mail circulating that purports to be from the Commission's Office of the Whistleblower and that contains a ...

If your firm is adding a branch office, make sure your written supervisory procedures are changed to reflect that. Failing to do that was just ...