Broker-Dealers

A recent SEC no-action letter broadened the type of party that could be considered a major, U.S. institutional investor, thereby allowing foreign firms to play ...

More of the sanctions and complaints that are included in BrokerCheck reports could make their way into the monthly summary of disciplinary cases that FINRA ...

SEC staffers last week told the Commission that the consolidated audit trail (CAT) will ease the burden of broker-dealers providing order data to investigators and ...

The MSRB has issued new guidance to help underwriters of municipal securities meet new disclosure obligations to state and local governments and reveal conflicts. The ...

If Bernie Madoff represents the epitome of the modern-day Ponzi scammer, his brother Peter stands as the symbol of a most delinquent CCO.Last month the ...

Using a compliance calendar, keeping WSPs current, and providing ongoing training are among the compliance tips suggested in the free, white paper Zero Deficiencies: Closing ...

Check whether your firm's procedures call for reps to provide a detailed account of their participation in private securities transactions, and make sure reps know ...

If you want to engage in mediation under the auspices of FINRA, the mediator you select will need to be either a FINRA-approved mediator, or ...

Not only do you face a big new fee if you want to file a Continuing Membership Application on July 23 or later, you'll also ...

The three candidates to fill the Small Firm seat on the FINRA Board of Governors are tapping into small broker-dealers' discontent with the self-regulatory organization.Key ...