FINRA

In his most impassioned defense of financial regulatory reform, SEC Commissioner Luis Aguilar sounded off last Friday on efforts to soften Sarbanes-Oxley, criticized efforts to ...

Good things are worth waiting for. Back in February we told you about a FINRA sweep exam letter that asked broker-dealers about the business they ...

A copy of the January 2009 FINRA sweep exam letter looking at broker-dealer relationships with investment advisers after the Bernie Madoff debacle.

At first glance, the case against Ameritas Investment Corp. of Lincoln, Neb., for failing to supervise a broker who sold clients unsuitable life insurance policies, ...

If your firm employs state-registered reps or is dually registered, changes to Form U4 and U5 could be important. By November, firms will have to ...

In reforming financial services regulation, Congress should set up a new oversight board that would report to the SEC and be responsible for setting and ...

SECURITIES AND EXCHANGE COMMISSION17 CFR PART 240[Release No. 34-40518; File No. S7-26-98]RIN 3235-AH04Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act ...

SECURITIES AND EXCHANGE COMMISSIONRelease No. 34-36548; File No. SR-NASD-95-42DATES: December 1, 1995Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by National Association of Securities ...