Broker-Dealers

Exchange-traded funds and reverse-leveraged exchange-traded funds continue to be on the watch list of FINRA's Enforcement Division, a senior FINRA staffer said last week. Recently, ...

If you have a FINRA exam on July 9th or later, brace for examiners to check your compliance with new suitability rule 2111, a senior ...

Consider FINRA's sanction guidelines for violating its rule on outside business activities when you set your firm's levels of punishment for reps who violate it. ...

Consider conducting the unannounced inspections of your branch offices on a random basis - as opposed to relying just on a triggering event. That's a ...

SEC Enforcement Director Robert Khuzami last week reiterated the value he sees in the Commission sometimes settling cases with firms as opposed to taking them ...

That fate that befell a Maryland firm is a good reminder that you need to have a solid system to keep track of reps' outside ...

Until the matter is resolved, Charles Schwab & Co.'s pre-dispute arbitration agreements will retain the controversial language that requires customers to waive their right to ...

A hedge fund compliance officer who was fired from his firm after speaking out against alleged internal misconduct, doesn't have sound legal grounds to sue ...

Two SEC commissioners last week strongly noted their opposition to the MSRB's recent directive about underwriters' obligations to issuers, saying that an adequate cost-benefit analysis ...

The Treasury Department's Financial Crimes Enforcement Network says it will offer a webinar, probably in mid-June, for financial institution employees and compliance professionals with Bank ...