Dual Registrants

With FINRA's new rule (rule 2210) on communications with the public kicking in next month, you might be wondering how to handle your market letters. ...

With FINRA's new rule (rule 2210) on communications with the public kicking in next month, you might be wondering how to handle your market letters. ...

A recent FINRA settlement highlights the need for reps and principals to make sure they're educated about the risks in complex products they sell to ...

A recent FINRA settlement highlights the need for reps and principals to make sure they're educated about the risks in complex products they sell to ...

The MSRB received almost $2.8 million in violation-fine revenue in Fiscal Year 2012, about a 40% increase over the roughly $2 million it received from ...

A new CFTC final rule mandates that certain types of CTAs and other entities will have to put into place tape recording systems to preserve ...

FINRA's recently released 2013 exam priorities letter reinstates a discrete mention of anti-money laundering as an area examiners will target. Neither the 2012 nor the ...

It's not just FINRA and the SEC targeting sales practices involving non-traded REITS. States can get in on the action, too, as shown by a ...

The SEC has again extended its policy of allowing broker-dealers to rely on the customer identification programs (CIP) of investment advisers with respect to shared ...

In the first half of this year, the SEC is expected to issue a concept release or a request-for-information to help it craft a proposed ...