Dual Registrants

FINRA recently fined a rep who was a financial adviser $20,000 and suspended him for 10 days for allegedly "shadowing trades" even though the regulator ...

In the debate over the regulation of broker-dealers and registered investment advisers, the IA industry has argued that BDs should be required to adhere to ...

As you know, the soundness of the annual audits that accountants perform on your firm, and of the accountants themselves, can be checked by the ...

Effective Feb. 25, brokers, dealers and municipal securities dealers must report for inter-dealer transactions the contractual dollar price at which the transaction was executed, in ...

FINRA has not issued a definition or an exhaustive list of products it considers "complex" and thus warranting the need for heightened supervision. But there's ...

It looks like FINRA won't aggressively push Congress this year to pass a bill to mandate a self-regulatory organization for investment advisers. FINRA CEO Richard ...

Remember that there's a Feb. 15 deadline for brokers to give their clients the IRS Form 1099-B, which summarizes stock transactions for tax reporting purposes.Filling ...

A December complaint that Massachusetts securities officials filed against LPL Financial over the firm's handling of non-traded real estate investment trusts has resulted in the ...

Recently released results from a survey of Certified Financial Planners found that 45% of respondents use social media for business purposes.About two-thirds of those who ...

We recently told you about a FINRA settlement in which a rep of a Michigan firm was suspended for 10 days for making unsuitable sales ...