Dual Registrants

FINRA CEO Richard Ketchum has repeatedly stated that firms are going to need to identify their significant conflicts of interest and figure out how they're ...

FINRA's new rule requiring you to file with the regulator offering documents you use in connection with private placements shouldn't be overly burdensome because you ...

A new SEC report recommends that the Commission ask Congress to pass new laws to better regulate municipal issuers, thereby imposing new disclosure and auditing ...

If your firm does a big portion of its work in a particular business line, make sure the policies and procedures for that business are ...

Some firms faced a few bumps in the road dealing with the new system to file Suspicious Activity Reports electronically, which became mandatory July 1, ...

The MSRB's new rule that requires underwriters to disclose conflicts to issuers also prohibits underwriters from making misrepresentations when responding to a request for proposal, ...

A recent FINRA settlement shows examples of advertising language the regulator says went too far in promising the upside of the products. Protect yourself by ...

A recent SEC no-action letter broadened the type of party that could be considered a major, U.S. institutional investor, thereby allowing foreign firms to play ...

More of the sanctions and complaints that are included in BrokerCheck reports could make their way into the monthly summary of disciplinary cases that FINRA ...

SEC staffers last week told the Commission that the consolidated audit trail (CAT) will ease the burden of broker-dealers providing order data to investigators and ...