Hugh Kennedy
Rule allows FINRA to impose new obligations on B-Ds with significantly higher levels of risk-related disclosures
FINRA cautions that issues can arise when issuers don't understand the unique characteristics of complex products and their risks
FINRA clarifies when a CCO is and is not subject to potential liability under its supervision rule
The proposal addresses concerns that some parties may not be able to participate meaningfully in arbitration due to illness or age
Global uncertainties trigger reminder to broker-dealers of the prudence of employing strong risk management practices
Proposed changes are a bid to fulfill Dodd-Frank mandate to make certain short sale data publicly available
FINRA's Cook "failed to answer key questions" about how arbitrators were chosen in a Wells Fargo case, say Warren and Porter
Amendments create the first uniform national standard for placing holds on securities transactions when financial exploitation suspected
The 14 new FAQs tackle questions on temporary holds, trusted contact provisions, disclosure issues, and more
Deutsche Bank Securities failed to seek best ex for its customers' orders tied to a dark pool it operated