Dual Registrants

Although SEC Chair Mary Jo White has but one vote among her four colleagues, she can set the Commission's agenda. Last month she told conference ...

Beginning next month and running through June, the SEC and FINRA will stage joint programs "open to all risk, audit, legal and compliance professionals employed ...

You'll be asked to comment on several proposed changes passed last week by FINRA's Board of Governors. These include a requirement that firms "include a ...

Total revenues at FINRA jumped 2% and salaries enjoyed a nearly 5% bump last year. While CEO Rick Ketchum continues to be the top wage ...

The agenda ahead for Kevin Goodman, the new national associate director of OCIE's broker-dealer exam program (IA Watch, Nov. 18, 2013), includes initiatives to carry ...

A 21-year veteran of the SEC last week took over as the national associate director of the broker-dealer examination program within OCIE. Kevin Goodman had ...

The SEC's new crowdfunding proposal comes in at 176 pages after appearing in the Federal Register last week (IA Watch, Oct. 28, 2013). You have ...

As debate over a uniform fiduciary standard continues, FINRA has released a 44-page Report on Conflicts of Interest that urges firms to identify, manage and ...

Compliance guidance for overseeing issues like application of a fiduciary duty standard can be found in a new release from FINRA that passes on questions ...

There have been few signs the Commission's ready to plow that tricky ground of coming up with a common fiduciary duty standard for investment advisers ...