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Press reports have shined a light of late on FINRA's lobbying efforts, tying it to the SRO's desire to oversee investment advisers. But an analysis ...
That highly publicized regulator-on-regulator enforcement action last month - the SEC slapping FINRA for a third incident in eight years that SRO staff gave the ...
Securities lawyers had varying opinions on the impact of last week’s federal appeals court decision that prohibits FINRA from using the courts to force rule-violators ...
The internal materials you use to educate and train your reps on your firm's services and products would be subjected to the same approval and ...
On Sept. 26th, FINRA rule 5131 - the anti-spinning rule - takes effect. While it's aimed at broker-dealers, compliance with it creates headaches for fund ...
Presidents or CEOs of their firms shouldn't count on their title insulating them personally from SEC or FINRA enforcement actions - even when they have ...
A peer shares the firm's language added to its subscription documents to alert clients of the need to obtain certain representations to help brokers comply ...
Whether or not you allow your reps to use social media for business purposes, FINRA expects you to train them on the difference between a ...
If the market continues to tumble or to stay down, brace for an increase in customer complaints. And be ready to separate vague gripes about ...
Now that those three RIA rules have been finalized (IA Watch, June 27, 2011), expect the SEC to move on to other topics, including reform ...