Dual Registrants

FINRA now has the authority to direct your, individual firm to file additional information, as deemed appropriate by FINRA, as a supplement to your FOCUS ...

What began as a friendship linked by meetings of Alcoholics Anonymous in Philadelphia would turn into one of betrayal that sparked a case of insider ...

The Financial Crimes Enforcement Network recently released its "Strategic Plan" for Fiscal Years 2012-2016 , and a major part driving the plan will be the ...

If your firm is selling new issue munis, make sure it delivers a copy of the issue's official statement to the customer within the appropriate ...

The due diligence concept that regulators want you to practice for private placements also should be exercised when you underwrite offerings of municipal securities.That's the ...

You couldn't charge an issuer proxy processing fees at the beneficial owner level for your taking over proxy voting decisions for separately managed accounts (SMA), ...

The National Association of Independent Broker Dealers has weighed in on the side of SIPC in the corporation's legal fight with the SEC over SIPC ...

If your firm offers high-frequency trading, make sure you've got a supervisory system in place that specifically addresses such transactions. Nasdaq recently fined OCTEG, LLC ...

You're not alone if you're nervous about FINRA's recently distributed Risk Control Assessment (RCA) survey, which went out late last month, and taken aback by ...

FINRA recently barred an individual after finding that he engaged in improper discretionary trading, made excessive trades or recommended unsuitable transactions in the customer accounts ...