Broker-Dealers

Changes to FINRA’s rules on who can buy or sell initial equity public offerings or new issues open doors not just for broker-dealers but—potentially—private fund ...

FINRA is wondering if a tougher regulatory scheme for lending arrangements is warranted

Supervision failures connected to 529 share-class recommendations charged

Broker-dealers who do business in Europe will have an extra three years to get their paid research affairs in order after the SEC agreed to ...

AML compliance failures lead to large fine

The SEC proposes revising a rule that governs the publication of securities' quotations

Latest enforcement action concerning seniors exploitation troubling

Market manipulation scheme employed by China-based traders

Proposals aimed at improving secondary market structure

Broker-dealers would have more discretion in handling the accounts of vulnerable senior investors under an industry proposal submitted to FINRA. The SRO is conducting a ...