Dual Registrants

FINRA last month sent out a targeted sweep letter to see how firms are complying with rule 5320, which prohibits trading ahead of customers' orders.Regulators ...

When it comes to compliance giving its input on designing and testing IT changes, you might want to consider these tips from Marshall Levin, a ...

The SEC last week announced settlements with two different investment adviser firms over allegations that they impeded examinations by Commission staff.In one instance, the Commission ...

The story repeats so often throughout history that it qualifies as a Greek tragedy: A boss with unlimited power gets questioned by compliance staff, so ...

Compliance needs to be involved - and listened to - when your firm gets new systems, or changes the ones it has, so that the ...

New arbitration figures from FINRA show that customers were more likely to be awarded damages when the three-person arbitration panel is all public, as opposed ...

Christopher Columbus couldn't have asked for a map to the New World. Similarly, James Cullen found no guide when he set out to develop policies ...

The SEC and Justice Department last week jointly put out a guide to following the Foreign Corrupt Practices Act that offers definitions and examples of ...

The SEC's Enforcement Division has been focusing heavily on complex products, transactions, and practices, and has logged large numbers of actions over the past two ...

The Treasury Department has signaled that it wants to take a big look at anti-money laundering program requirements to see if they should be changed ...