Broker-Dealers

Firms that sell complex products are expected to periodically assess how those products are performing in the market, FINRA says in new guidance. And one ...

When it comes to branch office audits, you'd better have surprise audits in your branch inspection program, speakers at a recent BD Week webinar stressed. ...

FINRA recently issued answers to four Frequently Asked Questions regarding reporting issues dealing with the Trade Reporting and Compliance Engine system. One of the answers ...

The Municipal Securities Rulemaking Board is seeking qualified applicants to fill seven positions on the board starting Oct. 1, 2012, it announced last week. The ...

A new study funded by a coalition of industry groups concludes that it would cost each advisory firm more than $51,000 a year in fees ...

The calculation you use to determine whether someone is an "accredited investor" in the context of Regulation D offerings changes Feb. 27 to exclude the ...

A change FINRA has proposed to its arbitration system would assure that employees would have a right to file more kinds of claims against your ...

The SEC's decision to cease using the "neither admit nor deny" language in settlements when there's been a parallel criminal conviction isn't expected to affect ...

This is an SEC no-action letter from the Division of Trading and Markets provided to the Certified Financial Planner Board of Standards in March 2011. ...

Brokers that regularly provide individualized investment advice to employment-based retirement plans from which they collect 12b-1 fees or commissions in violation of DOL rules are ...