Dual Registrants

A man who served as managing director for technology systems at FINRA, and another who was a contract computer programmer there, were among eight individuals ...

FINRA appears to have dropped a proposed provision that would have required you to subject internal training materials to the same approval and record-keeping requirements ...

You may wish to redouble your efforts to correct serious deficiencies found in your last SEC exam after recently announced enforcement actions from the agency. ...

Retail brokers at dually registered firms needn't wait for the SEC to issue a rule extending to them a fiduciary duty standard similar to the ...

Beyond the usual suspects - all compliance policies and procedures, information on testing and compliance reviews and records of violations of the code of ethics ...

The SEC need not wait for Congress to act to reform the "patchwork quilt" of regulatory rules governing investment advisers and broker-dealers, according to Commissioner ...

In letters and speeches, investment industry advocates are lobbying Congress on how to pursue a potential harmonization of regulations governing investment advisers and broker-dealers. IA ...

Firms that engage in retail foreign exchange activities, supervision procedures that promote good compliance, sales practices to seniors, anti-money laundering efforts and other examination topics ...

Investment Advisers Act of 1940 – Rule 206(4)-4(b) Kirkpatrick & Lockhart LLP January 28, 2004 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT ...

The SEC rejects a commissions-relationship by reps who aren't registered.