Broker-Dealers

SEC Commissioner Daniel Gallagher last week signaled that failure-to-supervise rules should be clarified so that compliance professionals who aren't otherwise supervisors can step into that ...

David Lerner Associates (DLA), of Syosset, N.Y., will be required to pay $12 million in restitution to affected customers who bought shares in Apple REIT ...

A new report from NASAA puts enforcement actions against investment advisers at the top of its list for 2011. The number of cases brought against ...

When FINRA comes knocking on your door for a routine exam, you should take the initiative to explain what you're doing to comply with the ...

Theodore Urban, the former general counsel at Ferris Baker Watts, battled efforts by the SEC Enforcement Division to sanction him for allegedly failing to reasonably ...

A recent decision by a FINRA hearing panel shows the perils of a firm not telling the regulator that it altered a document the firm ...

A recent FINRA settlement with a New Jersey firm serves as a strong reminder to make sure you retain all business-related e-mails, including those that ...

There are some significant additions in the just-released Fall 2012, Firm Element Advisory, which is put out by the Securities Industry/Regulatory Council on Continuing Education. ...

The SEC used its current capital, margin and segregation rules for broker-dealers as a basis for last week's proposed requirements that address those areas for ...

Don't look for a postponement of the Feb. 7 deadline to comply with a new Consumer Financial Protection Bureau rule that governs international money transfers ...