Broker-Dealers

Industry players are worried that a proposed SEC rule aimed at curbing conflicts of interest in the packaging of asset-backed-securities (ABS) is too vaguely worded ...

The Department of Labor sent a letter to member organizations that are advocates for financial services firms, seeking data about their members' compensation for handling ...

Last week, we reported about a Eugene, Oregon man who faces FINRA charges of improperly using hundreds of thousands of dollars that belonged to the ...

It looks like the staff of the Municipal Securities Rulemaking Board will be busy in the months ahead. Among the items the board recently put ...

You might want to give your firm's senior management a heads up. The SEC is continuing to emphasize that it wants senior management to give ...

Your firm should make clear to its employees that retaliation against whistleblowers is strictly prohibited. That's one of several points emphasized in a new PricewaterhouseCoopers ...

Some industry pros see the fact that FINRA doesn't mention AML as a stand-alone section in its 2012 exam priorities letter as a sign that ...

FINRA has charged a former registered rep from Eugene, Oregon with engaging in massive misconduct from February 2006 through September 2011, victimizing customers at three ...

We recently shared details of a FINRAsettlement where the regulator sanctioned the CEO of a Fairfield, Connecticut firm for supervisory failures. Some of those failures ...

Broker-dealers that use part-time CCOs who perform compliance functions at other firms, too, need to make sure those individuals aren't so overloaded that they can't ...