Dual Registrants

If FINRA examiners ask for copies of Suspicious Activity Reports and supporting documentation to see if you're complying with SAR filing requirements, you will have ...

The criminals compromising customers' e-mail accounts to divert the customers' funds are typically targeting victims domestically or in Australia, and the funds typically are being ...

E*Trade must offer a return of up to $20 million to Californians who invested in auction rate preferred securities that the firm was marketing as ...

In an unusual settlement, FINRA has determined that a firm circumvented the use of FINRA's arbitration system to settle the firm's disputes with reps over ...

FINRA wants you to reassess your policies and procedures on how you deal with customers' e-mailed requests to transfer funds electronically. Why? Lately, more thieves ...

H. David Kotz - who became director of the SEC's Office of Inspector General in 2007 and served through a wrenching time in the Commission's ...

FINRA has fined a Phoenix-based firm $300,000 for a series of violations, including failing to require reps to collect the customer profile information needed to ...

Firms that sell complex products are expected to periodically assess how those products are performing in the market, FINRA says in new guidance. And one ...

When it comes to branch office audits, you'd better have surprise audits in your branch inspection program, speakers at a recent BD Week webinar stressed. ...

FINRA recently issued answers to four Frequently Asked Questions regarding reporting issues dealing with the Trade Reporting and Compliance Engine system. One of the answers ...