Broker-dealers that pay a rep an incentive of at least $50,000 to leave another firm and come aboard would have to disclose that fact to ...
The new implementation date for a new MSRB reporting rule regarding inter-dealer transactions will be no later than March 29, 2013, the Board recently stated. ...
One way to help your firm comply with regulators' document requests is to practice compiling certain information in a short amount of time, says Francois ...
In 2013, the SEC will "move forward with recommendations" regarding a uniform fiduciary standard for broker-dealers and investment advisers, the Commission said in a recent ...
A recent FINRA settlement with a small New York firm and its CCO highlights the need to respond promptly to the regulator's information requests - ...
Firms that provide retail customers with international money transfer service for non-securities-related matters - a function that could subject such firms to a new disclosure ...
You might want to notify your customers that the SEC has recently issued an updated Investor Alert warning that there continue to be fraudulent solicitations ...
The Treasury Department has used its Dodd-Frank authority to exclude foreign exchange swaps and foreign exchange forwards from the definition of a swap. The decision ...
The upcoming departure of SEC Chairman Mary Schapiro, and the escalation of Commissioner Elisse Walter to fill in the chairman spot, will leave the Commission ...
A recent FINRA settlement with a small firm owned by a member of the regulator's National Adjudicatory Council shows that the mandated testing of an ...