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FINRA exam sweep status update featured questions brokerage firms should consider asking when approving options trading
Priorities include protecting investors and markets, enhancing transparency, reducing the time to complete cases, and improving internal collaboration
Reg BI and Form CRS failures lead to penalty for Texas-based broker-dealer
SRO warns of fraudulent e-mails purporting to be from FINRA and using e-mail addresses designed to look like they are those of FINRA execs
FINRA charges that posts made by influencers on social media sites on behalf of a Texas-based broker-dealer were "not fair or balanced"
Commissioner suggests proposed rule preventing non-lawyers from getting compensated to represent investors in arbitration proeedings could exacerbate problems
Financial services will continue to be hit with the symptoms of the cyber threat, including ransomware, account takeovers, identity theft, and data breaches
New FINRA case adds the new twist of charges against both the firm and a specific person
"A proposed FINRA rule could exacerbate the problem by preventing non-lawyers from getting compensated to represent investors in arbitration proceedings"
A businessman covers his eyes and extends his arm in a futile effort to prevent the inevitable a series of heavy walls from falling on him.
The Commission alleged that in 2013, as CCO, Ronald Heineman ignored red flags and engaged in a scheme to manipulate the price of a stock ...
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