Dual Registrants

You might want to give your firm's senior management a heads up. The SEC is continuing to emphasize that it wants senior management to give ...

Your firm should make clear to its employees that retaliation against whistleblowers is strictly prohibited. That's one of several points emphasized in a new PricewaterhouseCoopers ...

Some industry pros see the fact that FINRA doesn't mention AML as a stand-alone section in its 2012 exam priorities letter as a sign that ...

FINRA has charged a former registered rep from Eugene, Oregon with engaging in massive misconduct from February 2006 through September 2011, victimizing customers at three ...

We recently shared details of a FINRAsettlement where the regulator sanctioned the CEO of a Fairfield, Connecticut firm for supervisory failures. Some of those failures ...

Broker-dealers that use part-time CCOs who perform compliance functions at other firms, too, need to make sure those individuals aren't so overloaded that they can't ...

Members of the Financial Services Institute responding to a recent FSI poll made it overwhelmingly clear they don't want President Obama returning for a second ...

FINRA has proposed a slight increase in nearly all of its fees for qualification exams, but the biggest hike would be $25.That's the rise you ...

The simplified version of FINRA's arbitration process could be used to handle more disputes, under a new proposal the regulator has forwarded to the SEC.Under ...

A recent FINRA settlement with the former AML compliance officer/CCO of a branch office of a New York firm illustrates the need for rigorous customer ...