Broker-Dealers

Two individuals who had performed compliance functions were among four executives that FINRA sanctioned last week in three separate cases involving violations of anti-money laundering ...

The 2013 version of FINRA's Risk Control Assessment Survey was e-mailed last week to the executive director of each member firm, and the self-regulatory organization ...

Make sure your supervisory system monitors to try to ensure that the corporate bonds your firm sells to customers are being sold at fair prices.Under ...

Guidance was issued by FINRA last week stressing the need for firms to make sure their communications with the public regarding unlisted real estate investment ...

In addition to a new Chief Economist at FINRA who will conduct cost-benefit analyses of proposed rules (see related story), other moves are occurring among ...

Thirty-seven House and Senate members have sent a letter to SEC Chairman Mary Jo White urging the Commission to exercise authority it was given by ...

Some industry compliance pros see FINRA's decision to hire an individual whose explicit duties include conducting cost-benefit analyses of its rules as a potential plus ...

We told you in our last issue of BD Week about a recent FINRA settlement involving a former rep getting fined $5,000 and suspended for ...

One view holds that the recent speech by the SEC's David Blass simply spotlighted the agency's long-standing position on what types of transactions warrant an ...

A new MSRB rule takes effect July 1 that will require dealers to disclose more information about contributions to bond ballot campaigns. The requirements call ...