Dual Registrants

In an act of unprecedented harmony, the SEC, CFTC and FINRA have jointly released best practices and lessons learned for firm business continuity plans based ...

Compliance officers at dually-registered firms and broker-dealers would be advised to heed several "red flags" within OCIE's latest risk alert so as to spot possible ...

Now that all required advisers have filed their initial Form PF with the SEC, the agency has satisfied another Dodd-Frank requirement by sharing with Congress ...

FINRA last week fined the firm Oppenheimer and Co. $1.4 million, under a settlement in which the regulator determined that the firm failed to have ...

Be prepared for the possibility that customers might call the compliance department to check the legitimacy of a cold call the customer believes came from ...

The Massachusetts securities regulator has launched a probe of how broker-dealers might be pitching "alternative investments" to senior citizens, the state has announced. Alternative investments ...

If during an exam, a FINRA examiner asks for on-the-record testimony, you should assume the regulator's enforcement arm has been called into the picture. Once ...

A recent federal appellate court decision might encourage whistleblowers who have information about potential law-breaking at their firms to take their concerns straight to the ...

Groups representing the industry are calling for FINRA to ease provisions contained in its latest proposed supervision rule that would expand the categories of accounts ...

Answers to questions about TRACE reporting involving investment adviser transactions, split-volume reporting and mortgage-backed securities are among several subjects addressed in FINRA's just-released "Frequently Asked ...