Dual Registrants

You would do well to make sure your firm has devised policies and procedures to manage conflicts of interest even if your firm didn't receive ...

A FINRA hearing officer recently fined Los Angeles-based Wedbush Securities $300,000 and firm president Edward William Wedbush $25,000, after finding that despite repeated warnings from ...

A recent FINRA settlement with a Winter Park, Florida firm shows that the regulator has little patience for e-mail retention shortfalls, even if the broker-dealer ...

FINRA sanctions and fines for 2012 will surpass those for 2011 if the SRO continues its activity at the current pace, according to a new ...

The MSRB is considering issuing a proposed rule requiring firms that offer electronic brokerage services for transactions of munis to provide customers an educational disclosure ...

FINRA is tightening things up when it comes to determining whose English skills are so limited that the person would be eligible to get extra ...

Given the recent problem Knight Capital experienced, reportedly due to a malfunctioning algorithm - a problem that cost the firm $400 million - regulators might ...

A New York man who worked as a Compliance Risk Officer at Morgan Stanley Smith Barney (MSSB) sued the firm last week, alleging that the ...

If you need to file a continuing membership application - which is used to alert FINRA of plans to make a significant change in your ...

FINRA's Regulatory Notice 10-22 lays out some of the practices firms have used when conducting due diligence on private placements to spot red flags. "At ...