SEC Enforcement Director Robert Khuzami last week reiterated the value he sees in the Commission sometimes settling cases with firms as opposed to taking them ...
That fate that befell a Maryland firm is a good reminder that you need to have a solid system to keep track of reps' outside ...
Until the matter is resolved, Charles Schwab & Co.'s pre-dispute arbitration agreements will retain the controversial language that requires customers to waive their right to ...
A hedge fund compliance officer who was fired from his firm after speaking out against alleged internal misconduct, doesn't have sound legal grounds to sue ...
Two SEC commissioners last week strongly noted their opposition to the MSRB's recent directive about underwriters' obligations to issuers, saying that an adequate cost-benefit analysis ...
The Treasury Department's Financial Crimes Enforcement Network says it will offer a webinar, probably in mid-June, for financial institution employees and compliance professionals with Bank ...
It looks like FINRA will narrow the category of individuals who can be a public arbitrator (those individuals who sit on FINRA arbitration panels who ...
To help ensure proper supervision of private placements, your supervisory procedures must explain in detail how private placement due diligence is conducted, by whom it's ...
Make sure your firm has a supervisory system to prevent reps from marketing and selling to non-accredited investors those products specifically designed for accredited investors. ...
If you underwrite municipal securities, regulators will expect you to provide the issuer more comprehensive disclosures than you have in the past, thanks to a ...