Steps were not taken to confirm that reps understood the features and risks unique to NT-ETPs before recommending them
The Commission's economic analysis of the Regulation Best Execution proposal is "fundamentally flawed," in former Chief Economist's opinion
SRO reminds about policy prohibiting firms and associated persons from making audio or video recordings of conversations with staff
Association expresses concerns that proposed rules could have a chilling effect on broader short selling activity across the industry
FINRA determined that SpeedTrader's supervisory system for potential manipulative trading was not reasonable in four key respects
Given that the SEC ushered in a quicker trade settlement rule in May, you would expect the DOE to conduct a sweep exam to assess ...
741 firms opted in to participating in the initial phase of FINRA's remote inspections pilot program
FINRA alerts B-Ds to Form BR functionality enhancements for initial Form BR submissions and updated residential supervisory location FAQs
Broker-dealer failed to "reasonably respond" to trading in 100 customer accounts that appeared to be potentially excessive and unsuitable
New notice covers this year's CE Regulatory Element training assignments and calls out the Dec. 31 completion deadline