Broker-Dealers

In light of FINRA's new suitability rule, expect the regulator to pay very close attention to what you're doing to ensure your reps don't recommend ...

FINRA's new pilot for large arbitration cases provides much-needed flexibility, says a Sutherland lawyer who represents firms. Meanwhile, a lawyer who works for investors sees ...

A recent FINRA settlement is an example of the regulator holding a compliance professional personally liable for compliance shortfalls even though he didn't engage in ...

Early on under FINRA's new suitability rule, examiners conducting cycle exams are likely to ask for signs that you're capturing the customer information the rule ...

FINRA is increasing a host of fees, many of which haven't been raised in years, the self-regulatory organization points out in Regulatory Notice 12-32. Among ...

Enter the Consumer Financial Protection Bureau, that controversial entity established by Dodd-Frank. Recently, its Office for Older Americans put out an invitation for comments by ...

Remember the Federal Trade Commission's "Red Flag Rule," which the SEC and CFTC are now charged with re-proposing and implementing? (BD Week, March 5, 2012). ...

As of July 23, the ceiling for new arbitration claims that can be subject to FINRA's simplified arbitration process will be $50,000, as opposed to ...

Your firm will need to sort through the policies and procedures you use for various kinds of communications with the public and realign them with ...

A Richmond, Virginia firm's recent settlement with FINRA re-emphasizes the regulator's stance that a supervisory system designed to oversee sales of traditional exchange-traded funds doesn't ...