Broker-Dealers

FINRA has proposed a slight increase in nearly all of its fees for qualification exams, but the biggest hike would be $25.That's the rise you ...

The simplified version of FINRA's arbitration process could be used to handle more disputes, under a new proposal the regulator has forwarded to the SEC.Under ...

A recent FINRA settlement with the former AML compliance officer/CCO of a branch office of a New York firm illustrates the need for rigorous customer ...

If your firm has customers in Massachusetts, it has been subject to that state's data security law since it took effect March 1, 2010. But ...

In preparation for the Department of Labor's new fee disclosure rule, start by identifying all the ERISA plans you work with. You're going to have ...

More investigators and analysts will be working to search out firms and individuals who engaged in misconduct in connection with the creation and sale of ...

The state of Missouri recently reached a settlement of nearly $1.1 million with the firm Stifel, Nicolaus & Company after determining that it failed to ...

The sudden dismissal of the Commission's case against Ted Urban, the former general counsel at Ferris Baker Watts in Baltimore, surprised even the defendant, came ...

FINRA's 2012 exam priorities letter is notable for its emphasis on different types of complex products, and the need to do suitability analyses tailored to ...

Your firm might be able to shield itself from class-action customer complaints if a new legal battle goes a certain way. While a plus for ...