If your firm does a big portion of its work in a particular business line, make sure the policies and procedures for that business are ...
Some firms faced a few bumps in the road dealing with the new system to file Suspicious Activity Reports electronically, which became mandatory July 1, ...
The MSRB's new rule that requires underwriters to disclose conflicts to issuers also prohibits underwriters from making misrepresentations when responding to a request for proposal, ...
A recent FINRA settlement shows examples of advertising language the regulator says went too far in promising the upside of the products. Protect yourself by ...
A recent SEC no-action letter broadened the type of party that could be considered a major, U.S. institutional investor, thereby allowing foreign firms to play ...
More of the sanctions and complaints that are included in BrokerCheck reports could make their way into the monthly summary of disciplinary cases that FINRA ...
SEC staffers last week told the Commission that the consolidated audit trail (CAT) will ease the burden of broker-dealers providing order data to investigators and ...
The MSRB has issued new guidance to help underwriters of municipal securities meet new disclosure obligations to state and local governments and reveal conflicts. The ...
If Bernie Madoff represents the epitome of the modern-day Ponzi scammer, his brother Peter stands as the symbol of a most delinquent CCO.Last month the ...
Using a compliance calendar, keeping WSPs current, and providing ongoing training are among the compliance tips suggested in the free, white paper Zero Deficiencies: Closing ...