Dual Registrants

Firms that provide retail customers with international money transfer service for non-securities-related matters - a function that could subject such firms to a new disclosure ...

You might want to notify your customers that the SEC has recently issued an updated Investor Alert warning that there continue to be fraudulent solicitations ...

The Treasury Department has used its Dodd-Frank authority to exclude foreign exchange swaps and foreign exchange forwards from the definition of a swap. The decision ...

The upcoming departure of SEC Chairman Mary Schapiro, and the escalation of Commissioner Elisse Walter to fill in the chairman spot, will leave the Commission ...

A recent FINRA settlement with a small firm owned by a member of the regulator's National Adjudicatory Council shows that the mandated testing of an ...

FINRA examiners looking at how firms are complying with the new Suitability and Know Your Customer rules are particularly interested in the customer profile information ...

An independent test of your firm's AML program should involve rigorous interviews of employees who work in that space to determine whether they know their ...

A division of the Commodity Futures Trading Commission is narrowing the anti-pay-to-play provisions that apply to swap dealers so that they're similar to the MSRB ...

FINRA and the Commodity Futures Trading Commission are trying to find out what worked and what didn't with the business continuity plans of firms affected ...

OCIE only examined 8% of RIAs between October 2011 and September 2012, coming up short of its goal of 9%, according to a new report. ...