Broker-Dealers

The former head of the SEC's Office of Compliance Inspections and Examinations who was instrumental in creating that unit says in an open letter to ...

Companies that provide consulting services to financial firms are being watched by regulators - a message driven home by last week's agreement between the New ...

FINRA's new targeted sweep letter on firms' use of social media signals that, for now, the regulator is looking broadly at how firms utilize the ...

Just because a firm is an introducing broker-dealer that doesn't provide customers with access to the market doesn't mean the firm is automatically excluded from ...

You might want to notify your customers that the SEC and FINRA are warning that there's been a sharp increase in e-mail related to pump-and-dump ...

The Commission took one on the chin last week in a case in which it had barred a former broker from working in the industry ...

If your reps think misconduct must be related to the securities business in order for FINRA to discipline them, you can tell them about the ...

Dually-registered firms that have customers that are receiving both brokerage and investment advisory services could simplify their record retention practices for those accounts by applying ...

The SEC has fined the Chicago Board Options Exchange $6 million after finding that it failed to enforce or fully understand Reg SHO, had systemic ...

FINRA is considering identifying categories of limited-purpose firms that don't need to be covered by all of its rules, and creating tailored rulebooks that are ...