Dual Registrants

Your anti-money laundering program needs to be able to detect patterns of questionable activity if it is to pass muster with FINRA. A Pittsburgh firm's ...

FINRA is relaxing some of its requirements on firms and individuals affected by Hurricane Sandy ( Regulatory Notice 12-45). Here's a rundown of some of ...

The MSRB has approved a staff proposal that calls for muni dealers to disclose more detailed information about their contributions to bond ballot campaigns. Meanwhile, ...

In 2011, the Red Bank, N.J.-based broker-dealer Garden State Securities overhauled its business continuity plan after finding flaws that revealed themselves after a brutal winter ...

Two thirds of the cases that FINRA Enforcement brings these days involve single-broker cases or single-office cases that are isolated instances of 'petty dishonesty,' says ...

SEC Commissioner Daniel Gallagher last week signaled that failure-to-supervise rules should be clarified so that compliance professionals who aren't otherwise supervisors can step into that ...

David Lerner Associates (DLA), of Syosset, N.Y., will be required to pay $12 million in restitution to affected customers who bought shares in Apple REIT ...

A new report from NASAA puts enforcement actions against investment advisers at the top of its list for 2011. The number of cases brought against ...

When FINRA comes knocking on your door for a routine exam, you should take the initiative to explain what you're doing to comply with the ...

Theodore Urban, the former general counsel at Ferris Baker Watts, battled efforts by the SEC Enforcement Division to sanction him for allegedly failing to reasonably ...