If you hire a rep who immediately will be placed under heightened supervision, make sure you don't have gaps in those procedures. A hole in ...
Remember that it will cost a few bucks more to take most of the FINRA qualification exams as of April 2. Most of the fees ...
An influential coalition of consumer and industry groups that includes the Investment Adviser Association and the Financial Planning Association has submitted a letter to the ...
If you haven't done so already, you should be writing policies and procedures needed to comply with the SEC's new rule requiring broker-dealers to report ...
The company that handles most of the proxy processing business that broker-dealers contract out when handling managed accounts says it's opposed to a quest by ...
FINRA's decision to postpone to April 9 the date by which it wants you to submit the voluntary Risk Control Assessment survey is a sign ...
Among the SEC's various IT improvements recently is the development of a program called TRENDS, which has the potential to be a repository for all ...
FINRA now has the authority to direct your, individual firm to file additional information, as deemed appropriate by FINRA, as a supplement to your FOCUS ...
What began as a friendship linked by meetings of Alcoholics Anonymous in Philadelphia would turn into one of betrayal that sparked a case of insider ...
The Financial Crimes Enforcement Network recently released its "Strategic Plan" for Fiscal Years 2012-2016 , and a major part driving the plan will be the ...