Broker-Dealers

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 ...

Your anti-money laundering program needs to be able to detect patterns of questionable activity if it is to pass muster with FINRA. A Pittsburgh firm's ...

FINRA is relaxing some of its requirements on firms and individuals affected by Hurricane Sandy ( Regulatory Notice 12-45). Here's a rundown of some of ...

The MSRB has approved a staff proposal that calls for muni dealers to disclose more detailed information about their contributions to bond ballot campaigns. Meanwhile, ...

In 2011, the Red Bank, N.J.-based broker-dealer Garden State Securities overhauled its business continuity plan after finding flaws that revealed themselves after a brutal winter ...

Two thirds of the cases that FINRA Enforcement brings these days involve single-broker cases or single-office cases that are isolated instances of 'petty dishonesty,' says ...