Broker-Dealers

Four out of 10 financial professionals use social media for business purposes several times each week, according to American Century Investments' latest annual survey released ...

A recent FINRAsettlement is a good reminder to reps that they need to follow your policies regarding whether they're permitted to recommend an independent investment ...

Some industry groups are applauding FINRA's proposal to retain its 5% policy in the midst of the regulator's revision of rules on commissions, markups, and ...

Wondering about how detailed you should be on a Form U5 in describing the reason a rep was terminated? There are two schools of thought ...

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 ...

The North American Securities Administrators Association says that effective June 1, the enrollment fee for the Series 63 Exam will go up to $115; the ...

The Securities Industry Continuing Education Program has issued the Spring 2013 Firm Element Advisory. Additions and updates include FINRA's big revision of its rules on ...

The Massachusetts Securities Division is proposing a new requirement that those seeking to register as an investment adviser file with the state a Criminal Offender ...

Both political parties have attacked President Obama's FY 2014 budget, which was recently released, so it may have little chance of passage but it does ...

SEC Commissioner Daniel Gallagher recently reiterated his call for the Commission to clarify the conditions under which compliance officers can be held liable for supervisory ...