Broker-Dealers

Inadequate supervisory procedures was a key flaw at Goldman, Sachs & Co. that resulted in the firm and one of its former vice presidents violating ...

Starting Dec. 3, if you sell an issuer's securities in a private placement, you must file with FINRA a copy of any private placement memo, ...

A director of the SEC's newly created Office of Municipal Securities will start Sept. 24, taking the reins of the Dodd-Frank-mandated unit that will report ...

If reps at your firm are selling life settlements as an outside business activity, you should pay attention to some of the disclosure documents that ...

A small firm that FINRA fined $10,000 for trade reporting violations and related supervisory deficiencies provided the regulator a corrective action statement that contains some ...

FINRA is scrutinizing options trading, and believes its ability to conduct surveillance in this area will increase substantially when a consolidated audit trail (CAT) is ...

If you're unclear about whether the SEC considers your firm a "municipal advisor" that must register as such with the Commission, don't hold your breath ...

The SEC last week announced an asset freeze against Western Financial Planning Corporation and its owner, Louis V. Schooler, accusing them of running a real ...

FINRA has conducted a targeted sweep of firms that operate Alternative Trading Systems (ATS), inquiring about the various levels of access available to ATS clients ...

The Securities and Exchange Commission is the agency tasked with enforcing the new Consumer Financial Protection Bureau rule on international money transfers as it applies ...