News & Analysis as of

The Regulators Are Coming! The Regulators Are Coming!

Regulators, in-house lawyers and compliance officers told a serious cautionary tale at the recent Practicing Law Institute Broker-Dealer Regulation and Enforcement seminar. Representatives of the Securities and Exchange...more

Compliance Matters: Prior Disclosure = Future Exposure?

Broker and broker-dealer information is generally a few keystrokes or mouse-clicks away for anyone with an Internet connection, and regulators are working to shorten those paths. The information available is just as expansive...more

FINRA Approves Revamped Broker Compensation Proposal

On September 19, FINRA’s Board of Governors approved a proposal that would require brokers to disclose recruitment compensation paid to them as an incentive to move to a new firm. The original proposal stirred a great deal...more

FINRA Pushes Compensation Proposal Forward

FINRA is pushing ahead with its proposed rule to require brokers to provide compensation information their clients. The FINRA board announced earlier this month that it would solicit feedback on the proposal through a...more

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