Make sure your firm's policies and procedures effectively ensure it's using fair pricing and best execution in regards to fixed-income transactions. This includes the need ...
That 1-1 Commission vote a few weeks ago dismissing the failure-to-supervise case against Ted Urban, the former general counsel at Ferris Baker Watts in Baltimore ...
The SEC "Risk Alert" on unauthorized training, issued last week, includes a number of approaches to attack the problem. Some of the notable ones focus ...
A FINRA arbitration panel last week found that four related investor claimants filed a "frivolous" claim against a Los Angeles-based broker-dealer and one of its ...
FINRA says there will be some new changes to BrokerCheck by July that stem from Dodd-Frank's efforts to improve investor access to broker-dealer and investment ...
More than 1,000 applicants filed to become RIAs between January 1 and last week. The agency aims to approve new applications within 45 days, meaning ...
The SEC has warned that there's a bogus e-mail circulating that purports to be from the Commission's Office of the Whistleblower and that contains a ...
If your firm is adding a branch office, make sure your written supervisory procedures are changed to reflect that. Failing to do that was just ...
The Department of Labor sent a letter to member organizations that are advocates for financial services firms, seeking data about their members' compensation for handling ...
Last week, we reported about a Eugene, Oregon man who faces FINRA charges of improperly using hundreds of thousands of dollars that belonged to the ...