Broker-Dealers

FINRA is tightening things up when it comes to determining whose English skills are so limited that the person would be eligible to get extra ...

Given the recent problem Knight Capital experienced, reportedly due to a malfunctioning algorithm - a problem that cost the firm $400 million - regulators might ...

A New York man who worked as a Compliance Risk Officer at Morgan Stanley Smith Barney (MSSB) sued the firm last week, alleging that the ...

If you need to file a continuing membership application - which is used to alert FINRA of plans to make a significant change in your ...

FINRA's Regulatory Notice 10-22 lays out some of the practices firms have used when conducting due diligence on private placements to spot red flags. "At ...

FINRA CEO Richard Ketchum has repeatedly stated that firms are going to need to identify their significant conflicts of interest and figure out how they're ...

FINRA's new rule requiring you to file with the regulator offering documents you use in connection with private placements shouldn't be overly burdensome because you ...

A new SEC report recommends that the Commission ask Congress to pass new laws to better regulate municipal issuers, thereby imposing new disclosure and auditing ...

If your firm does a big portion of its work in a particular business line, make sure the policies and procedures for that business are ...

Some firms faced a few bumps in the road dealing with the new system to file Suspicious Activity Reports electronically, which became mandatory July 1, ...