Broker-Dealers

A New York registered rep, over the course of seven years and 11 employers, failed to disclose on his Form U4 that he was subject ...

If inflating his firm's AUM on its Form ADV were his only crime, Eugenio Verzili might still have a job. This month the agency barred ...

The SEC's exam priorities for investment advisers include some new, as well as emerging risks, the Commission's exam chief said during a recent conference in ...

Carlo di Florio, the director of the SEC's Office of Compliance Inspections and Examinations, recently was asked what advice he had for new chief compliance ...

Investment advisers can now take their client disputes to FINRA. Recently, the SRO announced a process for investment advisers to use its dispute resolution processThe ...

FINRA has issued an investor's alert stating that firms will be evaluating requests for margin extensions on a case-by-case basis for customers in regions affected ...

FINRA has a special unit called a "case management team" that numbers about 10 people who coordinate regulatory intelligence available to the Enforcement Department. Created ...

Periodically check whether your firm's employees and officers are properly licensed for the tasks they're performing. Recent FINRA sanctions against a Texas firm's former CCO ...

The head of the SEC's Office of Compliance Inspections and Examinations recently laid out some of its key targets, and they come under the general ...

The SEC has released a list of 293 mid-sized advisory firms that haven't complied with its rules for shifting over to state registration. These firms ...