The head of the SEC's Office of Compliance Inspections and Examinations recently laid out some of its key targets, and they come under the general ...
The SEC has released a list of 293 mid-sized advisory firms that haven't complied with its rules for shifting over to state registration. These firms ...
Your anti-money laundering program needs to be able to detect patterns of questionable activity if it is to pass muster with FINRA. A Pittsburgh firm's ...
FINRA is relaxing some of its requirements on firms and individuals affected by Hurricane Sandy ( Regulatory Notice 12-45). Here's a rundown of some of ...
The MSRB has approved a staff proposal that calls for muni dealers to disclose more detailed information about their contributions to bond ballot campaigns. Meanwhile, ...
In 2011, the Red Bank, N.J.-based broker-dealer Garden State Securities overhauled its business continuity plan after finding flaws that revealed themselves after a brutal winter ...
Two thirds of the cases that FINRA Enforcement brings these days involve single-broker cases or single-office cases that are isolated instances of 'petty dishonesty,' says ...
SEC Commissioner Daniel Gallagher last week signaled that failure-to-supervise rules should be clarified so that compliance professionals who aren't otherwise supervisors can step into that ...
David Lerner Associates (DLA), of Syosset, N.Y., will be required to pay $12 million in restitution to affected customers who bought shares in Apple REIT ...
A new report from NASAA puts enforcement actions against investment advisers at the top of its list for 2011. The number of cases brought against ...