FINRA

Presidents or CEOs of their firms shouldn't count on their title insulating them personally from SEC or FINRA enforcement actions - even when they have ...

A peer shares the firm's language added to its subscription documents to alert clients of the need to obtain certain representations to help brokers comply ...

Whether or not you allow your reps to use social media for business purposes, FINRA expects you to train them on the difference between a ...

If the market continues to tumble or to stay down, brace for an increase in customer complaints. And be ready to separate vague gripes about ...

Now that those three RIA rules have been finalized (IA Watch, June 27, 2011), expect the SEC to move on to other topics, including reform ...

It's been a vexing issue since the SEC finalized its revised pay-to-play rule: How can affected advisory firms discover government pension funds buried deep within ...

FINRA CEO Richard Ketchum said he would be "surprised" to see the SEC issue a proposed rule on a uniform fiduciary standard for broker-dealers and ...

With insider trading very much in the news, you will want to consider a number of tips to discourage reps at your firm from engaging ...

You might want to warn your clients of some pump-and-dump schemes floating around that try to exploit publicity over Japan's recent earthquake and nuclear crisis. ...

With all you have on your plate, you could be excused for missing a new FINRA rule that doesn't affect advisory firms directly. It's FINRA ...