Dual Registrants

Miriam Lefkowitz, chief legal and compliance officer at Summit Equities in Parsippany, N.J., uses spreadsheets to enforce and update her firm’s WSPs. She creates separate ...

By all accounts, FINRA’s risk-based examination program has been a success. Using analytics, the SRO is zeroing in on a handful of topics to review. ...

The battle’s on. SIFMA released June 3 a detailed “best interests of the customer standard” for broker-dealers that included regulatory language to replace FINRA rule ...

Large settlements may get most of the attention. But they hardly do justice to the breadth of AML enforcement actions taking place.   After last ...

For broker-dealers, the “best interest contract exemption” to the Department of Labor’s fiduciary proposal (IA Watch, April 14, 2015) is good news and bad news. ...

Mark Tuesday July 14th on your calendar if you’re a compliance officer at a broker-dealer.   That’s the day the SEC and FINRA will partner ...

It’s no secret that the SEC has long trained its regulatory glare upon transaction-based compensation and entities that aren’t registered broker-dealers (IA Watch, May 26, ...

Broker-dealers may be about to get another reprieve from having to track and report information about large traders. Industry groups are pushing the SEC to ...

You don’t want to mess with FINRA when it comes to rule 8210 (provision of information and testimony and inspection and copying of books ) ...

With the bulk of their assets in retirement accounts, independent broker-dealers are bracing for big changes in the wake of the Department of Labor’s proposal ...