Dual Registrants

FINRA is increasing a host of fees, many of which haven't been raised in years, the self-regulatory organization points out in Regulatory Notice 12-32. Among ...

Enter the Consumer Financial Protection Bureau, that controversial entity established by Dodd-Frank. Recently, its Office for Older Americans put out an invitation for comments by ...

Remember the Federal Trade Commission's "Red Flag Rule," which the SEC and CFTC are now charged with re-proposing and implementing? (BD Week, March 5, 2012). ...

As of July 23, the ceiling for new arbitration claims that can be subject to FINRA's simplified arbitration process will be $50,000, as opposed to ...

Your firm will need to sort through the policies and procedures you use for various kinds of communications with the public and realign them with ...

A Richmond, Virginia firm's recent settlement with FINRA re-emphasizes the regulator's stance that a supervisory system designed to oversee sales of traditional exchange-traded funds doesn't ...

The Massachusetts Securities Division recently filed an administrative complaint against the operations manager of a Reading, Mass. firm after the firm's CCO self-reported that the ...

R. Allen Stanford, the former board chairman of Stanford International Bank, last week was sentenced to 110 years in prison for a 20-year fraud in ...

Dealers registered with the Municipal Securities Rulemaking Board that aren't bank dealers are now required to retain for four years those records they previously had ...

FINRA's heavily rewritten rules involving your firm's communications with the public are scheduled to take effect Feb. 4, 2013, the regulator said last week (Regulatory ...