An employee could elect to go to the SEC with word of possible misconduct, bypassing your internal compliance program. But if the person alerts you ...
The MSRB might require underwriters and municipal advisors to publicly disclose payments they make, or receive, in connection with new issues of municipal securities. The ...
FINRA CEO Richard Ketchum said last week that if FINRA becomes the self-regulatory organization for investment advisers, he would support a de minimis registration fee ...
Reps who recommend complex products ideally should be trained well enough to develop a payoff diagram for the products to help clients analyze their features ...
FINRA's case against Brookstone Securities - which was fined $1 million last week after a hearing panel determined it reaped big commissions by fraudulently making ...
FINRA officials say examiners won't shy away from asking what's happening on the investment adviser side of a dually registered firm if they're following a ...
The SEC will encourage FINRA to take a retrospective look at its rules' effectiveness, the Commission said in response to a GAOreport on its oversight ...
Effective July 9, the MSRB is changing its definition of "sophisticated municipal market professional" (SMMP) to make it consistent with FINRA's new definition of institutional ...
The exception reports you receive from your clearing firms need to detect trends of suspicious activity over time if you're relying heavily on them for ...
Firms need to improve their disclosure of conflicts of interest, FINRA CEO Richard Ketchumsaid recently.That's one of a range of compliance-related updates Ketchum gave the ...