Dual Registrants

The calculation you use to determine whether someone is an "accredited investor" in the context of Regulation D offerings changes Feb. 27 to exclude the ...

When your firm is adopting a technological change - such as upgrading your e-mail-retention system - make sure you conduct sufficient testing to ensure the ...

A change FINRA has proposed to its arbitration system would assure that employees would have a right to file more kinds of claims against your ...

The SEC's decision to cease using the "neither admit nor deny" language in settlements when there's been a parallel criminal conviction isn't expected to affect ...

The SEC last week issued an Investor Alert aimed at protecting investors from fraud conducted over social media sites. Among the warnings: Be wary of ...

It's been about a year since California's law changed in a way that would force placement agents to register as lobbyists when seeking business involving ...

The deadline for financial institutions to use the Financial Crimes Enforcement Network's new Currency Transaction Report and Suspicious Activity Report for reporting purposes will be ...

Despite opposition from SIFMA, the plan by the Municipal Securities Rulemaking Board to require MSRB members to retain certain records for at least four years, ...

A man who served as managing director for technology systems at FINRA, and another who was a contract computer programmer there, were among eight individuals ...

FINRA appears to have dropped a proposed provision that would have required you to subject internal training materials to the same approval and record-keeping requirements ...