FINRA

When FINRA examiners recently showed up at Tessera Capital Partners in New York, the CEO noticed a big difference compared with her exam experience four ...

A new notice from FINRA reminds broker-dealers that they may need to ask more questions to help spot any red flags regarding the "beneficial ownership" ...

Lots of registered reps would fight for full arbitration hearings to get complaints expunged from their records, if FINRA finalizes a proposal to have BrokerCheck ...

Regulators are more vigorously scouring anti-money laundering efforts by firms, especially broker-dealers. While the SEC will likely ask your firm about its AML program on ...

FINRA has come down hard on a broker for more than $1 million in improper soft dollar payments, including $13,700 for a hedge fund manager ...

In his most impassioned defense of financial regulatory reform, SEC Commissioner Luis Aguilar sounded off last Friday on efforts to soften Sarbanes-Oxley, criticized efforts to ...

Good things are worth waiting for. Back in February we told you about a FINRA sweep exam letter that asked broker-dealers about the business they ...

A copy of the January 2009 FINRA sweep exam letter looking at broker-dealer relationships with investment advisers after the Bernie Madoff debacle.

At first glance, the case against Ameritas Investment Corp. of Lincoln, Neb., for failing to supervise a broker who sold clients unsuitable life insurance policies, ...

If your firm employs state-registered reps or is dually registered, changes to Form U4 and U5 could be important. By November, firms will have to ...