Dual Registrants

Beginning Aug. 25, FINRA-registered firms will need to have policies and procedures in place to ensure against a "pattern or practice" of self-trades. The SRO ...

U.S. exchanges are cooperating with FINRA toward an SEC-ordered pilot program to test the of viability a minimum trading increment for small-cap stocks of $0.05 ...

If you sell securities via a private placement to a non-accredited investor, you must notify FINRA.This rule applies to offerings made with funds from a ...

We recently shared tips for how investment advisers should conduct their risk assessment (IA Watch, May 5, 2014). Now, we take up the task for ...

The trend of accounts shifting to the fee-side of the equation is by now well established. The question comes up, though, is would be it ...

The top three hot topics coming up in FINRA exams are failure to supervise branch offices, the accuracy of consolidated statements of financial condition and ...

Compliance officers are more than a little apprehensive about FINRA's plan to start collecting electronically information that it now gathers during member firm examinations.There was ...

You have a few months to ready yourself for new problem codes from FINRA for reporting customer complaints against registered reps (RR). The SRO has ...

Last week, Charles Schwab & Co. decided to settle its long-running battle against FINRA over whether language in agreements prohibiting customers from joining class-action lawsuits ...

Regulators have made it known they're interested in whether clients are being moved from commission-based to fee-only accounts for the right reasons. The issue appears ...