Dual Registrants

The SEC last week released two final rules aimed at keeping tabs on the financial soundness of broker-dealers and better protecting customers. One of the ...

It just got easier for the SEC to book a trip to Europe to check on an investment adviser doing business there and for EU ...

In separate cases last week, the SEC zapped the investment adviser sides of two dually registered firms with fines and disgorgement exceeding $1.5 million ...

Really try to avoid hiring a rep with a significant disciplinary history. But if your firm insists on doing so, make sure the supervision of ...

FINRA announced last week that, through the Trade Reporting and Compliance Engine, it has increased transparency in mortgage-backed securities that are issued by Fannie Mae, ...

If the SEC hadn't heard loudly enough that RIAs oppose harmonizing IA and broker-dealer rules, Schwab drove home the point with new survey results that ...

Social media privacy legislation is a hot topic, with bills having been introduced in more than three-fifths of the states since last year, according to ...

There's no indication that investors were harmed but FINRA, nevertheless, fined a Kansas City, Mo. firm $20,000 for failing to conduct adequate due diligence on ...

FINRA has proposed adding a host of new rules to the list of those eligible for handling under its Minor Rule Violation Plan (MRVP). The ...

FINRA and industry groups have made significant progress convincing state legislatures that are pushing social media privacy laws to carve out exemptions for broker-dealers that ...