Broker-Dealers

      Securities Exchange Act of 1934 — Rule 14a-8 Fidelity Select Portfolios March 15, 2013 Scott C. Goebel, Esq. Fidelity Investments Legal Department ...

The Municipal Securities Rulemaking Board has moved its electronic library of political contribution disclosures made by municipal securities dealers to the Electronic Municipal Market Access ...

FINRA says it's waiving the continuing membership application fee when it determines that the change a firm proposes doesn't require "substantial" review by FINRA staff. ...

A key SEC official recently ticked off a list of seven, key risk-based issues affecting broker-dealers. Here's the rundown, which was given in a conference ...

The SEC's recent "request for data" regarding the effects of a possible, new uniform fiduciary standard for broker-dealers and investment advisers contains lots of language ...

A recent FINRA enforcement case drives home the need for firms to have solid procedures in place to detect whether someone is fraudulently transferring funds ...

FINRA last week barred a former rep, Jeffrey Rubin of Lighthouse Point, Fla., for, among other things, making unsuitable recommendations to a customer who was ...

The battle rages over an important case that ultimately could allow broker-dealers to shield their firms from the threat of class-action lawsuits filed by customers.FINRA ...

Financial Crimes Enforcement Network Director Jennifer Shasky Calvery last week said that "FinCEN has been working closely with the Securities and Exchange Commission on the ...

Enforcement Alert: Latest version of sanction guidelines is stricter regarding information requestsA recent decision by FINRA's National Adjudicatory Council illustrates that the regulator's current sanction ...