A California court recently upheld a FINRA arbitration panel's decision that an investor who filed an arbitration complaint against a broker-dealer pay the $136,000 in ...
You might want to double check that your policies and procedures to monitor reps' postings on social media sites don't run afoul of state and ...
The Connecticut Attorney General's office has reached an agreement with TD Ameritrade in which the firm will cooperate in a multi-state investigation of potential antitrust ...
A recent FINRAsettlement can be a good example to your reps of the personal hazard they face if they get caught selling away. The regulator ...
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 ...
FINRA is making about $35 million in new spending cuts this year, the regulator says in its recently released annual financial report for 2011. The ...
The following are the investor profile facts that you are supposed to try to collect from each retail customer under FINRA's new suitability rule: Age; ...
In light of FINRA's new suitability rule, expect the regulator to pay very close attention to what you're doing to ensure your reps don't recommend ...
FINRA's new pilot for large arbitration cases provides much-needed flexibility, says a Sutherland lawyer who represents firms. Meanwhile, a lawyer who works for investors sees ...
A recent FINRA settlement is an example of the regulator holding a compliance professional personally liable for compliance shortfalls even though he didn't engage in ...