FINRA has conducted a targeted sweep of firms that operate Alternative Trading Systems (ATS), inquiring about the various levels of access available to ATS clients ...
The Securities and Exchange Commission is the agency tasked with enforcing the new Consumer Financial Protection Bureau rule on international money transfers as it applies ...
Failure to follow written supervisory procedures was the most prevalent type of violation among broker-dealers examined under NASAA's 2012 Broker-Dealer Coordinated Examinations Project, the group ...
Do you have an adequate supervisory system to detect for churning? A lot of firms don't, says Unbo (Bob) Chung, who is senior compliance counsel ...
A list of shortfalls in policies and procedures to prevent churning were the key violations cited in last week's SECsettlement with JP Turner and Co. ...
A recent FINRA proposal is aimed at making an aspect of arbitration easier and cheaper for member firms and associated persons.The proposal calls for FINRA ...
Eligible candidates who want to have their names added to the ballot for a seat to represent the North or West Region on FINRA's Small ...
FINRA recently fined a New York broker-dealer $315,000, and fined its former CCO $15,000 for supervisory and other violations relating to interaction between the firm's ...
One of the new areas on NASAA's 2012 list of the top ten products or practices investors need to be careful about involves advice from ...
Don't blame the heat from a hotly contested election for no sign that the SEC is prepared to move forward with a proposal to extend ...