Suitability

Early next year, the SEC’s Division of Economic Analysis is expected to deliver its economic analysis of a potential new fiduciary standard for broker-dealers and ...

It looks like interest rate sensitive securities will make a re-appearance on FINRA’s 2015 exam priorities list. A senior FINRA staffer has cautioned that receding ...

The clock is ticking on SEC Chair Mary Jo White’s stated desire to determine by year’s end what, if any, options to pursue when it ...

You'll find new focus areas - e.g., general solicitation, IPOs and crowdfunding - sprinkled among perennial items in the latest version of FINRA's annual Regulatory ...

A recent FINRA settlement resulted in a rep from a Michigan firm being suspended for 10 days for making unsuitable sales of inverse floater collateralized ...

If you have a FINRA exam on July 9th or later, brace for examiners to check your compliance with new suitability rule 2111, a senior ...