Broker-Dealers

Although FINRA supports the idea of there being a self-regulatory organization to oversee investment advisers, the regulator isn't opposed to the idea of the SEC ...

If you think FINRA examiners are going too far with their document requests under the cover of Rule 8210, you should "escalate" your concerns up ...

Proposed criminal background check of IA reps attracts few commentsThe range of opinions in response to the proposalmade by Massachusetts securities officials to mandate a ...

FINRA officials may talk to other regulators to determine what level of risk a firm poses, which can determine how frequently the firm will be ...

FINRA officials plan to issue a report early this summer on strong conflict management practices firms have used. The regulator has been gathering information from ...

FINRA examiners will especially want to see documentation that explains why reps recommended their clients "hold" their securities in instances where products have short-term features, ...

You've heard the message before. Pay attention to compliance or pay. This lesson pops up recently in the travails of Foxhall Capital Management ($27M in ...

It's natural to be nervous about testing your business continuity plan. Who wants to be the one to blame if it doesn't work?Consider a solution ...

Word has it that some firms are attempting to steer potential whistleblowers to report internally first, while others may be crossing a legal line and ...