Broker-Dealers

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 ...

The Bond Dealers of America has developed guidance to help firms that are members comply with the MSRB's new rule requiring underwriters of municipal securities ...

A California court recently upheld a FINRA arbitration panel's decision that an investor who filed an arbitration complaint against a broker-dealer pay the $136,000 in ...

You might want to double check that your policies and procedures to monitor reps' postings on social media sites don't run afoul of state and ...

The Connecticut Attorney General's office has reached an agreement with TD Ameritrade in which the firm will cooperate in a multi-state investigation of potential antitrust ...

A recent FINRAsettlement can be a good example to your reps of the personal hazard they face if they get caught selling away. The regulator ...

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 ...

FINRA is making about $35 million in new spending cuts this year, the regulator says in its recently released annual financial report for 2011. The ...

The following are the investor profile facts that you are supposed to try to collect from each retail customer under FINRA's new suitability rule: Age; ...