FINRA Board Member Joel Blumenschein has stepped down from that position in the wake of disclosures that the self-regulatory organization last month suspended him from ...
If you're responsible for arranging the independent test of your firm's anti-money laundering program, make sure that test scrutinizes what's happening in your firm's different ...
FINRA reminds in a recent podcast of the types of complex products that could be considered complex and, therefore, in need of heightened review. It ...
It was the failure to have supervisory procedures tailored to address non-traditional exchange-traded funds, and the failure to craft rep training programs covering the risks ...
The Treasury Department's Financial Crimes Enforcement Network last week entered into new territory by forging Memoranda of Understanding in which the regulator will share important ...
FINRA's Enforcement Division alleges that a former rep for Chase Investment Services Corp. stole more than $400,000 from customer accounts at the firm's affiliate, JP ...
The compliance date for most broker-dealers to comply with the record keeping, reporting and monitoring requirements under the SEC's large trader rule has been postponed ...
Steven Trigili, the CCO of Garden State Securities in Red Bank, NJ, tells BD Week how he handles the Firm Element Advisory:"There are a couple ...
Your reps need to know enough about the private placements they recommend to assess whether your firm's due diligence efforts regarding those securities were reasonable. ...
A House bill released last week allows for multiple SROs for IAs serving retail clients. It differs in many ways from a draft bill circulated ...