Broker-Dealers

A change FINRA has proposed to its arbitration system would assure that employees would have a right to file more kinds of claims against your ...

The SEC's decision to cease using the "neither admit nor deny" language in settlements when there's been a parallel criminal conviction isn't expected to affect ...

This is an SEC no-action letter from the Division of Trading and Markets provided to the Certified Financial Planner Board of Standards in March 2011. ...

Brokers that regularly provide individualized investment advice to employment-based retirement plans from which they collect 12b-1 fees or commissions in violation of DOL rules are ...

As the Senate moved closer toward a final version of financial regulatory reform, one Commissioner says the SEC could act on its own to bring ...

A look at the B-D protocol

Click here to open an Excel worksheet that lists the signatories to the Broker Protocol as of March 2010.

This is a copy of the so-called broker protocol, which brokerage houses often sign with breakaway brokers before they leave.

You could see them as a threat or an opportunity. They're broker reps who, for one reason or another, have chosen to leave their brokerage ...

Some suggest that a best practice would be to keep such logs in a WORM format - write once, read many - which doesn't allow ...