FINRA levied significantly more fines in 2012, according to Sutherland Asbill &…
Read MoreSEC Approves New Identity Theft Rules
Mary Jo White was sworn in on April 10 and her first…
Read MoreProposed FINRA Rule Would Make Broker Misdeeds More Public
Complaints about brokers, including allegations of minor misconduct, could soon be widely…
Read MoreThe SEC’s 2013 Priorities: What Should Broker-Dealers Be Worried About?
Last week, we talked about the helpful heads-up that the SEC provided…
Read MoreUpdate: SEC Extends Principal Trading Rule
The SEC has officially extended the sunset for the temporary principal trading…
Read MoreFINRA Pushes Compensation Proposal Forward
FINRA is pushing ahead with its proposed rule to require brokers to…
Read MoreFINRA Offers Relief in Wake of Hurricane Sandy
In the wake of the devastating storm that ravaged much of the…
Read MoreFINRA Offers Relief in Wake of Hurricane Sandy
In the wake of the devastating storm that ravaged much of the…
Read MoreBroker-Dealers: Do You Know How To Keep a Secret?
The SEC’s Office of Compliance Inspections and Examinations (OCIE) recently released a…
Read MoreFINRA Wants to Link Your Firm Website to BrokerCheck
FINRA wants to make it easier for clients to check out your…
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