The case marks just the latest bad news for small-firm managers with compliance duties
These SEC FAQs can help you prepare for Reg BI
The proposal could update the national market system for the collection, consolidation, and dissemination of information with respect to quotations for and transactions in stocks
A peer shared this example of a policy and procedure for anti-money laundering
FINRA rules limit offering and organization expenses
The SEC has settled 15 ADR pre-release cases
More than 2,000 transactions did not contain any provisions to satisfy the Pre-Release Obligations
A 'hire me' conversation "on the golf course, at social gatherings or while running errands" could force delivery of your Form CRS
FINRA was lauded for its effort to protect vulnerable adults
Rule includes an interpretation addressing the application of the portfolio reconciliation, portfolio compression, and trading relationship documentation requirements to cross-border security-based swap activities