Dual Registrants

As a result of objections raised by its two Republican members, the currently four-person SEC didn't approve a new report that the International Organization of ...

Make sure your firm follows up on any information FINRA's Central Registration Depository sends you about individuals that could warrant amending their Forms U4.A large, ...

Make sure your firm follows up on any information FINRA's Central Registration Depository sends you about individuals that could warrant amending their Forms U4.A large, ...

A fiduciary faces a responsibility to be aware of conflicts of interest and to deal with them and perhaps no situation creates one more than ...

FINRA is making clear, through a new rule change, that it can demand a wide array of documents from your firm, and compliance experts say ...

FINRA is making clear, through a new rule change, that it can demand a wide array of documents from your firm, and compliance experts say ...

FINRA's newly re-proposed rule on commissions would make changes to three of the seven existing, relevant factors you must consider in determining whether the amount ...

FINRA's newly re-proposed rule on commissions would make changes to three of the seven existing, relevant factors you must consider in determining whether the amount ...

FINRA is making clear, through a new rule change, that it can demand a wide array of documents from your firm, and compliance experts say ...

Make sure you get the full array of notifications available from FINRA's Central Registration Depository, not just those that come with the default setting, says ...