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Broker-Dealers

The patchwork of communications pieced together by SEC investigators into solid evidence of insider trading leaves little surprise that the vaunted RIA SAC Capital Advisors ...
A commission that on its face might look relatively high might be allowable in FINRA's eyes if it's for a complicated transaction and you documented ...
Congress - through Dodd-Frank and an amendment to that law - inadvertently made it more difficult to obtain documents about the SEC's oversight of FINRA ...
An SEC spokesman confirmed a media report that the Commission's acting enforcement director, George Canellos, is seeking injunctions to stop certain individuals from engaging in ...
The president of the North American Securities Administrators Association last week said one his organization's goals is to get rid of mandatory arbitration in disputes ...
We recently told you about one firm that was sanctioned in early March for excessive markups in municipal securities transactions (BD Week, March 18, 2013). ...
There would be a major expansion in the kinds of documents FINRA would make readily available to the public regarding disciplinary actions and complaints against ...
Some industry groups have sharply criticized a FINRA proposal to require broker-dealers to disclose when they used "enhanced compensation" to recruit a rep from another ...
A new SEC, no-action letter allows introducing firms to set up arrangements aimed at curbing a potential conflict of interest faced by receiving reps who ...
FINRA might not be pulling out all the stops this year to get a law passed requiring a self-regulatory organization to oversee investment advisers but ...
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