Dual Registrants

Mixed messages about the CCO's supervisory duties was one of the elements in last week's $800,000 settlement between FINRA and Guggenheim Securities concerning the firm's ...

The Financial Crimes Enforcement Network last week issued lots of tips to help you fill out Suspicious Activity Reports, including the need to explain in ...

FINRA examiners will be on the lookout to see that firms that deal in munis are complying with a wide range of requirements, including those ...

A recent FINRAsettlement shows clearly the perils of a compliance officer having designated supervisory responsibilities over certain firm operations - especially over activities conducted by ...

The Financial Crimes Enforcement Network has posted on its website a recording of its Sept. 18th informational webinar on the use of the BSA E-Filing ...

The new president of the North American Securities Administrators Association said the organization needs to continue to fight efforts to preempt the power of state ...

A new investor bulletin from the SEC encourages investors to ask financial professionals they're thinking of using about their disciplinary history.The bulletin advises that the ...

For the third time in four years, the U.S. Supreme Court will hear a case involving an investment adviser that could have broad ramifications for ...

If you provide individual brokerage accounts in participant-directed retirement plans, expect the plan sponsor to approach you and seek certain information about your fees and ...

Firms are grappling with a provision in FINRA's new suitability rule that categorizes an explicit recommendation to hold securities as one that must comply with ...