Dual Registrants

A recent FINRA proposal is aimed at making an aspect of arbitration easier and cheaper for member firms and associated persons.The proposal calls for FINRA ...

Eligible candidates who want to have their names added to the ballot for a seat to represent the North or West Region on FINRA's Small ...

FINRA recently fined a New York broker-dealer $315,000, and fined its former CCO $15,000 for supervisory and other violations relating to interaction between the firm's ...

One of the new areas on NASAA's 2012 list of the top ten products or practices investors need to be careful about involves advice from ...

Don't blame the heat from a hotly contested election for no sign that the SEC is prepared to move forward with a proposal to extend ...

Last week, we told you about a branch office manager who was disciplined by FINRA for supervisory failures when it came to overseeing a rep ...

If your firm offers retail clients international money transfer services, brace for the possibility that you could be covered under a new Consumer Financial Protection ...

Examiners from the SEC will focus in the months ahead on whether firms in the municipal securities business are following the MSRB's rule that seeks ...

FINRA has sued a Calif.-based company that provides test-prep training for individuals taking securities exams, alleging that company employees infringed on the regulator's copyright by ...

FINRA last week issued an Information Notice encouraging firms potentially affected by Hurricane Isaac to prepare to implement business continuity plans. It said that in ...