Dual Registrants

FINRA leveled $68 million in fines in 2012, and ordered a record $34 million in restitution, the SRO said in a recent rundown of accomplishments ...

Make sure your firm's anti-money laundering program monitors for suspicious trades, not just for suspicious money movement. In addition, this monitoring needs to be done ...

You have until March 5 to send comments to FINRA regarding its new proposal to require firms to disclose recruitment compensation they paid to reps ...

FINRA's recently released Q&A's on new, communications-with-the-public rule 2210, which takes effect Feb. 4, don't appear to shed a big beam of light on any ...

For the third time in four years, a case involving an investment adviser went before the U.S. Supreme Court. Last week the justices heard arguments ...

As expected, the SEC published a final rule before 2012 drew to a close extending the principal trading exception until Dec. 31, 2014 (IA Watch, ...

Investment advisers will have to reach out to clients who fail to have cashed a check that you sent them, according to one of the ...

This is final rule released by the SEC late in 2012. Although this Exchange Act rule 17AD-17 becomes effective in March 2013, the compliance date ...

The SEC has extended for two more years the temporary rule that allows dually registered firms to engage in principal trades using a streamlined disclosure ...

FINRA expelled a North Miami Beach, Fla. firm and barred its CEO/CCO after finding that they violated securities rules when selling four private placement offerings ...