Broker-Dealers

If you're looking for tools to automate your compliance monitoring, consider factors such as the method of monitoring (for example, real-time), reliability, customization, vendor customer ...

With regulators' increased focus on due diligence and complex products, you might find the need to establish a new product committees if you haven't done ...

FINRA's Risk Control Assessment (RCA) survey, which was rolled out early this year in hopes that firms would voluntarily complete it, will be administered on ...

A recently issued Investor Alert from FINRA is aimed at informing investors what they need to know about trading halts, suspensions, and other interruptions. Among ...

It looks like the principal trading exception, due to expire this year, will be extended for two more years. A new SEC proposal would sunset ...

Mixed messages about the CCO's supervisory duties was one of the elements in last week's $800,000 settlement between FINRA and Guggenheim Securities concerning the firm's ...

The Financial Crimes Enforcement Network last week issued lots of tips to help you fill out Suspicious Activity Reports, including the need to explain in ...

FINRA examiners will be on the lookout to see that firms that deal in munis are complying with a wide range of requirements, including those ...

A recent FINRAsettlement shows clearly the perils of a compliance officer having designated supervisory responsibilities over certain firm operations - especially over activities conducted by ...

The Financial Crimes Enforcement Network has posted on its website a recording of its Sept. 18th informational webinar on the use of the BSA E-Filing ...