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Guidance addresses when a retail customer is judged to have "used" a recommendation
Firm made misrepresentations about how it handled certain trade orders
Large size broker-dealers will be allowed to comply with Consolidated Audit Trail requirements over a new, phased timeline, and small-to-medium sized firms that had been ...
Results positive from FINRA review of firms' senior investor protection programs
The helpline has aided in the return of $7 million to senior investors
The e-mails are made to appear as if they come from senior FINRA staff
The prohibition would not extend to a B-D that is also a state-registered investment adviser
Forms U4/U5 and continuing ed are the latest focus items
Submissions contained missing or inaccurate data for nearly five years
The failure of a broker-dealer to provide complete and accurate EBS information ... ultimately interfere[s] with the Commission’s ability to protect investors
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