Broker-dealers and even investment advisers who are worried about complying with European research rules that conflict with American law shouldn’t wait to get their affairs ...
SEC enforcement should focus on finding individuals responsible for wrongdoing, Democratic Commissioner Allison Herren Lee told a crowd of compliance professionals at the Investment Adviser ...
Sweep is the first announced by the SRO in 2020
For the fourth straight year, AML tops the list
Eight new FAQs cover six core areas
Adjusting or building upon current systems of supervision/compliance an option
Look for the regulations to be enforced after Sept. 1
Two years after proposal, FINRA appears no closer to finalizing OBA rules
A New York Supreme Court justice has ordered the assets of a private fund and related broker-dealer frozen, after evidence revealed “a shocking level of ...
The case marks just the latest bad news for small-firm managers with compliance duties
FINRA rules limit offering and organization expenses
The SEC has settled 15 ADR pre-release cases
A 'hire me' conversation "on the golf course, at social gatherings or while running errands" could force delivery of your Form CRS
FINRA was lauded for its effort to protect vulnerable adults
A Brick, N.J. broker-dealer will still have to sit out its suspension for failing to file audited reports with regulators but will be $3,000 richer ...
The exam overhaul has officially launched
Some firms have concluded wires are more trouble than they are worth
Reg BI arrives June 30: “The court knows what the timeline is. It’s up to the court”
Driscoll: The risk alert will be designed to “help firms prepare for potential exams”
Questions that could be asked on exams included
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