Broker-Dealers

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 ...

SEC records regarding its oversight of the FINRA arbitration program aren't subject to the Freedom of Information Act because they fall within a FOIA exemption ...

Make sure the markups that your firm charges customers for municipal securities for your firm's own account aren't excessive. The firm also needs to have ...

If you doubt whether FINRA wants to know what's happening on the investment adviser side of dually registered firms, check out what the regulator requested ...

The Municipal Securities Rulemaking Board has proposed revising its suitability rule G-19 so that it jibes with FINRA's new suitability rule, including adding the requirement ...

Fines imposed by FINRA increased by 15% in 2012, while the number of enforcement actions edged up 3.5%, according to an analysis of data by ...

An individual with knowledge of FINRA's work on its Risk Control Assessment Survey said the SRO is expected to soon roll out the 2013 version. ...