Broker-Dealers

Last week, we told you about a branch office manager who was disciplined by FINRA for supervisory failures when it came to overseeing a rep ...

Examiners from the SEC will focus in the months ahead on whether firms in the municipal securities business are following the MSRB's rule that seeks ...

FINRA has sued a Calif.-based company that provides test-prep training for individuals taking securities exams, alleging that company employees infringed on the regulator's copyright by ...

FINRA last week issued an Information Notice encouraging firms potentially affected by Hurricane Isaac to prepare to implement business continuity plans. It said that in ...

Enforcement of AML rules might increase as a result of a new director coming to the Treasury Department's Financial Crimes Enforcement Network.With the appointment of ...

The SEC recently wired $50,000 into a bank account, representing the initial payout from the agency's new whistleblower office post-Dodd-Frank reforms. The payday for the ...

Make sure your branch office supervisors perform their duties up to snuff.FINRA recently fined a Houston-based firm $150,000 under a settlement that cited violations with ...

Thanks to a new study by SEC staff, FINRA now has the data to back up its push for broker-dealers to disclose conflicts of interest ...

Regulatory concerns related to “Pay‐to‐Play” practices under MSRB rules

BD Week is taking its scheduled break. The next issue of BD Week will be e-mailed on Aug. 31.