Broker-Dealers

The exam overhaul has officially launched

Some firms have concluded wires are more trouble than they are worth

B-D agrees to pay $1.25 million penalty

A Private Investment Fund or Privately-offered RIC should not be deemed to be "narrowly held"

B-Ds taping procedures found to be lacking

UITs have again become a source of pain

An investment adviser/broker-dealer has agreed to pay state authorities $250,000 to settle claims that it failed to supervise a rogue broker/investment adviser, authorities have announced. ...

Proposals address Reg BI, firm misconduct

New examination and risk monitoring structure in place

GPB raised the sum over five years and at its peak, more than five dozen broker-dealers signed on to sell the adviser’s funds. The B-Ds ...