Broker-Dealers

Make sure you set your email retention system so that secondary email addresses, also known as "alias" addresses, go to your archiving system.The failure to ...

In the first of a two-part podcast, FINRA officials recently noted some of the important aspects of its new rule on communications with the public. ...

A FINRA hearing panel last week upheld the right of a firm to have pre-dispute arbitration agreements with customers that waive the customers' right to ...

A FINRA proposal to require firms to place the links for reps' specific BrokerCheck reports on the reps' business-related websites - and on other places ...

You might want to tell your clients about a handy new Investor Alert from FINRA. The alert warns how rising interest rates can affect bonds ...

General Securities Sales Supervisors (Series 9/10) are authorized to approve most types of retail communications as they are defined under FINRA's new rule for communications ...

FINRA recently fined a rep who was a financial adviser $20,000 and suspended him for 10 days for allegedly "shadowing trades" even though the regulator ...

In the debate over the regulation of broker-dealers and registered investment advisers, the IA industry has argued that BDs should be required to adhere to ...

As you know, the soundness of the annual audits that accountants perform on your firm, and of the accountants themselves, can be checked by the ...

Effective Feb. 25, brokers, dealers and municipal securities dealers must report for inter-dealer transactions the contractual dollar price at which the transaction was executed, in ...