Failure to supervise

This case concerned not having required procedures regarding allocations from bunched orders, in violation of NFA Compliance Rule 2-10. The Complaint also charged David George ...

It’s right there in black and white in FINRA’s 2015 regulatory and examinations priorities letter as one of five key challenge areas for broker-dealers: supervision, ...

Make sure you monitor wage garnishment orders that come in concerning your employees to determine if they rise to the level of reportable events on ...

FINRA spells out the benefits of strong supervisory systems as a key protection against inadvertent harm to customers in its 2015 exam priorities letter (IA ...

Boost your firm’s exam prep by getting “ahead of the concerns raised in” FINRA’s 2015 exam priorities letter, which was released Jan. 6. It cautions ...

FINRA expects broker-dealers to stick with their fair pricing obligations to their customers when conducting transactions in lower-priced or distressed securities. Merrill Lynch has run ...

This entity failed to meet the minimum net capital requirements of the CFTC for a brief period of time on Jan. 9, 2013, due to ...

“Idea dinners” frequented by equity research analysts, institutional clients and sales and trading personnel have landed Citigroup Global Markets in hot water. FINRA has fined ...

A senior FINRA executive cautions broker-dealers to be sure that their supervisory systems are designed to ensure compliance with Regulation SHO. Brad Bennett, FINRA’s executive ...