Dual Registrants

The SEC "Risk Alert" on unauthorized training, issued last week, includes a number of approaches to attack the problem. Some of the notable ones focus ...

A FINRA arbitration panel last week found that four related investor claimants filed a "frivolous" claim against a Los Angeles-based broker-dealer and one of its ...

FINRA says there will be some new changes to BrokerCheck by July that stem from Dodd-Frank's efforts to improve investor access to broker-dealer and investment ...

More than 1,000 applicants filed to become RIAs between January 1 and last week. The agency aims to approve new applications within 45 days, meaning ...

The SEC has warned that there's a bogus e-mail circulating that purports to be from the Commission's Office of the Whistleblower and that contains a ...

If your firm is adding a branch office, make sure your written supervisory procedures are changed to reflect that. Failing to do that was just ...

Industry players are worried that a proposed SEC rule aimed at curbing conflicts of interest in the packaging of asset-backed-securities (ABS) is too vaguely worded ...

The Department of Labor sent a letter to member organizations that are advocates for financial services firms, seeking data about their members' compensation for handling ...

Last week, we reported about a Eugene, Oregon man who faces FINRA charges of improperly using hundreds of thousands of dollars that belonged to the ...

It looks like the staff of the Municipal Securities Rulemaking Board will be busy in the months ahead. Among the items the board recently put ...