FINRA officials issued a clear warning last week that they're looking very carefully at the incentives firms provide reps to sell complex products. They're also ...
The SEC has identified some aspects of broker-dealer operations that it sees as common weak spots in controls aimed at preventing insider trading. The observations ...
Inadequate supervisory procedures was a key flaw at Goldman, Sachs & Co. that resulted in the firm and one of its former vice presidents violating ...
Starting Dec. 3, if you sell an issuer's securities in a private placement, you must file with FINRA a copy of any private placement memo, ...
A director of the SEC's newly created Office of Municipal Securities will start Sept. 24, taking the reins of the Dodd-Frank-mandated unit that will report ...
If reps at your firm are selling life settlements as an outside business activity, you should pay attention to some of the disclosure documents that ...
A small firm that FINRA fined $10,000 for trade reporting violations and related supervisory deficiencies provided the regulator a corrective action statement that contains some ...
FINRA is scrutinizing options trading, and believes its ability to conduct surveillance in this area will increase substantially when a consolidated audit trail (CAT) is ...
If you're unclear about whether the SEC considers your firm a "municipal advisor" that must register as such with the Commission, don't hold your breath ...
The SEC last week announced an asset freeze against Western Financial Planning Corporation and its owner, Louis V. Schooler, accusing them of running a real ...