When FINRA comes knocking on your door for a routine exam, you should take the initiative to explain what you're doing to comply with the ...
Theodore Urban, the former general counsel at Ferris Baker Watts, battled efforts by the SEC Enforcement Division to sanction him for allegedly failing to reasonably ...
A recent decision by a FINRA hearing panel shows the perils of a firm not telling the regulator that it altered a document the firm ...
A recent FINRA settlement with a New Jersey firm serves as a strong reminder to make sure you retain all business-related e-mails, including those that ...
There are some significant additions in the just-released Fall 2012, Firm Element Advisory, which is put out by the Securities Industry/Regulatory Council on Continuing Education. ...
The SEC used its current capital, margin and segregation rules for broker-dealers as a basis for last week's proposed requirements that address those areas for ...
Don't look for a postponement of the Feb. 7 deadline to comply with a new Consumer Financial Protection Bureau rule that governs international money transfers ...
If you're looking for tools to automate your compliance monitoring, consider factors such as the method of monitoring (for example, real-time), reliability, customization, vendor customer ...
With regulators' increased focus on due diligence and complex products, you might find the need to establish a new product committees if you haven't done ...
FINRA's Risk Control Assessment (RCA) survey, which was rolled out early this year in hopes that firms would voluntarily complete it, will be administered on ...