Dual Registrants

FINRA last week issued a targeted sweep letter seeking information about the controls that high-frequency trading firms use when developing and using trading algorithms, and ...

As June faded into July, so too did the SEC's chance to appeal a loss in a case in which it claimed someone had been ...

Make sure you don't go overboard in advertisements about your firm giving investors a break on fees. FINRA is concerned that lately some firms have ...

A recent FINRA settlement highlights the hazards that can befall chief compliance officers whose specified duties include supervising business lines. It also shows that FINRA ...

The SEC's Enforcement Division has created a new task force that will focus on microcap fraud and will especially target "gate-keepers" potentially involved in such ...

The SEC, which is congressionally mandated to review its definition of "accredited investor" in 2014, said it's particularly interested in exploring two of eight alternative ...

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

A $9.5 million settlement that FINRA, the NASDAQ Stock Market, and a group of other regulators reached with Newedge USA, LLC is a stunning reminder ...

By and large, the base salaries that FINRA's top 10 executives are getting this year are the same as 2012 or slightly higher, according to ...

There will be an expansion of the New York Attorney General's probe of Thomson Reuters' tiered subscription service that allowed subscribers that paid $6,000 extra ...