Dual Registrants

The SEC's Office of Compliance Inspections and Examinations is reviewing a number of aspects of FINRA, including executive compensation and the effectiveness of FINRA's rules, ...

Former federal prosecutor Arnold Spencer, who's a partner in the Dallas office of Hayes and Boone, provided these tips for using the Financial Crimes Enforcement ...

You may use the new version of the Suspicious Activity Report now when you file electronically with the Financial Crimes Enforcement Network. But come April ...

If you hire a rep who immediately will be placed under heightened supervision, make sure you don't have gaps in those procedures. A hole in ...

Remember that it will cost a few bucks more to take most of the FINRA qualification exams as of April 2. Most of the fees ...

An influential coalition of consumer and industry groups that includes the Investment Adviser Association and the Financial Planning Association has submitted a letter to the ...

If you haven't done so already, you should be writing policies and procedures needed to comply with the SEC's new rule requiring broker-dealers to report ...

The company that handles most of the proxy processing business that broker-dealers contract out when handling managed accounts says it's opposed to a quest by ...

FINRA's decision to postpone to April 9 the date by which it wants you to submit the voluntary Risk Control Assessment survey is a sign ...

Among the SEC's various IT improvements recently is the development of a program called TRENDS, which has the potential to be a repository for all ...