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Broker-Dealers (989)
Your search for Broker-Dealers returned 989 results.
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5/09/2019 | Content area: Broker-Dealer
Thousands of AXA Advisors retirement plan participants believed they were investing in certain bond funds that were “investment-grade.” Turns out a su...
5/06/2019 | Content area: Broker-Dealer
Roveccio recommended to seven customers – Customers 5 through 11 – a pattern of high cost, in-and-out trading without any reasonable basis to believe...
5/02/2019 | Content area: Broker-Dealer
The frequency of broker-dealers being victimized by imposter websites created to commit financial fraud appears to be rising. The alarming trend—where...
5/02/2019 | Content area: Broker-Dealer
FINRA is putting its money where its mouth is when it comes to assisting broker-dealers in improving their compliance. Last year, the SRO spent $7.3 m...
5/02/2019 | Content area: Broker-Dealer
When you are the named principal in your firm’s WSPs responsible for reviewing the suitability of your reps’ recommendations, claiming that you rely o...
4/30/2019 | Content area: Broker-Dealer
The Commission is extending the compliance date for the recently adopted amendments to Rule 606 of Regulation National Market System (‘‘Regulation NMS...
4/25/2019 | Content area: Broker-Dealer
In a bid to provide greater flexibility to broker-dealers withdrawing their registration, the SEC has approved amendments to FINRA rule 4570 affording...
4/25/2019 | Content area: Broker-Dealer
Berkey's customers incurred significant costs with every transaction and the securities were held briefly; thus, the price of the securities had to ri...
4/18/2019 | Content area: Broker-Dealer
FINRA’s recently released 2019 Annual Budget Summary calls out that the SRO’s regulatory responsibilities remain “extensive and complex” and continue ...
4/18/2019 | Content area: Broker-Dealer
The SEC and FINRA have officially opened registration for their 2019 National Compliance Outreach Program for Broker-Dealers. The six-hour event—runni...
4/12/2019 | Content area: Broker-Dealer
Re: The Money Management Institute   Incoming letter dated April 2, 2019   Based on the facts and representations in your letter, and without necessar...
4/11/2019 | Content area: Broker-Dealer
The brokerage industry certainly sees its fair share of movement of registered reps from one firm to the next and across financial services firms oper...
3/14/2019 | Content area: Broker-Dealer
Nearly a year after being charged by the SEC with failing to supervise a registered rep alleged to have been involved in a long-standing pump-and-dump...
3/08/2019 | Content area: Investment Adviser
Promises of a high level of service at a low cost are always enticing but sometimes those promises prove empty. Such was the case for many clients of ...
2/28/2019 | Content area: Broker-Dealer
FINRA is looking to hear from broker-dealers that have had to activate their business continuity plans and whether the implementation of the BCP ultim...
2/21/2019 | Content area: Broker-Dealer
FINRA is warning brokerage firms to keep an eye out for a fraudulent “phishing” e-mail scheme aimed at compliance personnel. An e-mail making the roun...
2/07/2019 | Content area: Investment Adviser
Open up Aegis Capital’s ($507M in AUM) latest Form ADV brochure and you’ll read this very intriguing nugget under material changes: The Firm has been ...
1/31/2019 | Content area: Broker-Dealer
FINRA is taking a page from the SEC’s playbook in announcing Jan. 28 a self-reporting initiative tied to share class recommendations. Under the SRO’s ...
1/24/2019 | Content area: Broker-Dealer
FINRA’s recently released 2019 Risk Monitoring and Examination Priorities letter takes a new tact this go round by emphasizing new focus areas not not...
1/10/2019 | Content area: Broker-Dealer
Seeing continued “problematic” cybersecurity practices in its examination and risk monitoring program, FINRA has stepped in with a new report detailin...


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