The SEC has again extended its policy of allowing broker-dealers to rely on the customer identification programs (CIP) of investment advisers with respect to shared ...
In the first half of this year, the SEC is expected to issue a concept release or a request-for-information to help it craft a proposed ...
FINRA leveled $68 million in fines in 2012, and ordered a record $34 million in restitution, the SRO said in a recent rundown of accomplishments ...
Make sure your firm's anti-money laundering program monitors for suspicious trades, not just for suspicious money movement. In addition, this monitoring needs to be done ...
You have until March 5 to send comments to FINRA regarding its new proposal to require firms to disclose recruitment compensation they paid to reps ...
FINRA's recently released Q&A's on new, communications-with-the-public rule 2210, which takes effect Feb. 4, don't appear to shed a big beam of light on any ...
While the turmoil wrought by super storm Sandy last fall remains fresh in the minds of those firms that suffered in her wake, the SEC, ...
For the third time in four years, a case involving an investment adviser went before the U.S. Supreme Court. Last week the justices heard arguments ...
This is a sweep exam letter that FINRA sent after Hurricane Sandy in 2012 seeking answers to questions related to firms' business continuity plans (BCPs).
As expected, the SEC published a final rule before 2012 drew to a close extending the principal trading exception until Dec. 31, 2014 (IA Watch, ...