Broker-Dealers

The SEC has extended for two more years the temporary rule that allows dually registered firms to engage in principal trades using a streamlined disclosure ...

FINRA expelled a North Miami Beach, Fla. firm and barred its CEO/CCO after finding that they violated securities rules when selling four private placement offerings ...

FINRA will make headway in 2013 on efforts to get broker-dealers to disclose and manage conflicts of interest. That's one of several predictions that compliance ...

Individuals who want to engage in the security futures business have until Dec. 31, 2015 to complete a firm-element continuing education requirement for the futures ...

To effectively identify and manage conflicts of interest, remember that a conflict can be posed by arrangements ranging from revenue sharing to cash bonuses. And ...

The MSRB is conducting a wide-scale review of its rules and related interpretive guidance.It is soliciting comments to determine whether rules or guidance should be ...

It's good to do a thorough job studying for FINRA qualification exams but there's a time and place for everything. A recent FINRA settlement indicates ...

A settlement the SEC reached last week with one broker-dealer shows how severely a firm's leadership can be penalized if they don't seriously address major ...

Thanks to a no-action letter the SEC issued last week, relief has been given to broker-dealers that are subject to a new disclosure rule regarding ...

With only weeks left before the SEC is due to sunset Advisers Act rule 206(3)-3T, most commenters agree with a recent agency proposal to extend ...