Dual Registrants

TheSEC has formally sought data from the industry to help guide its decision on whether to institute a uniform fiduciary standard for broker-dealers and investment ...

A recent week of high drama gripped legal eagles eager to see how the U.S. Supreme Court ended its term with several high profile decisions. ...

A recent FINRA settlement shows that regulators can hold an individual rep accountable for due diligence matters even if he or she is selling products ...

In a few months, SIFMA is expected to release suggestions that might help the industry beef up its cybersecurity. That's when the organization will release ...

The Supreme Court decision striking down a key part of the Defense of Marriage Act (DOMA) might not affect compliance professionals at broker-dealers in the ...

FINRA's revised proposal for the overhaul of its supervision requirements could bring in a wide swath of changes: a requirement for policies that explicitly address ...

We occasionally provide tools that we hope you find useful in carrying out your compliance duties. This first tool is a spreadsheet to track the status ...

There's heavy pressure on the SEC and DOL not to have conflicting definitions of "fiduciary." In a hearing last week before the Financial Services subcommittee ...

Given that amended FINRA rule 8210 clarifies the broad latitude examiners have when requesting documents, you might want to consider these tips from the Sutherland ...

It could be a contest without a winner. The SEC trumpeted the second award to come out of its whistleblower office but the agency first ...