Broker-Dealers

The Florida Supreme Court has ruled that parties that bring claims against broker-dealers under FINRA's arbitration process must comply with that state's statute of limitations ...

FINRA recently sent a document request letter to some firms, seeking copies of their analyses of the potential impact of interest-rate sensitive products on customer ...

As of July 1, individuals associated with a mutual fund or a hedge fund will be excluded from the lists of those eligible to serve ...

The Municipal Securities Rulemaking Board is beefing up its telemarketing rule (G-29), which generally will make it consistent with requirements from the Federal Trade Commission ...

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 nine justices of the U.S. Supreme Court have agreed to hear the Lawson v. FMR case, which pits two former Fidelity contract employees against ...

FINRA has pulled back its controversial proposal that called for firms to place hyperlinks to reps' BrokerCheck reports on websites and social media locations the ...

A recent FINRA settlement shows that the regulator is paying attention to the concentration of alternative investments in customers' accounts, and whether firms are managing ...

Citizens in California, Massachusetts and New Jersey are the most capable of making ends meet, planning ahead financially, and understanding financial matters, according to a ...

The SEC last week charged NASDAQ with securities laws violations resulting from its poor systems and decision-making during the initial public offering and secondary market ...