Securities Regulation & Compliance

The Financial Industry Regulatory Authority (“FINRA”) announced this week it will more formally scrutinize how brokerage firm’s culture affects compliance…

Governor Jerry Brown recently signed Senate Bill 470, which amends California Code of Civil Procedure section 437c regarding summary judgment…

State regulators are setting their sights on barred securities brokers who continue to sell insurance and other financial products […]

FINRA's new Rule 3110(e) is set to take effect July 1, 2015. The rule will require many firms to intensify…

FINRA (The Financial Regulatory Authority), which supervises broker-dealers and the more than 650,000 financial advisers, recently proposed a rule that…

The Financial Industry Regulatory Authority (FINRA), a private corporation charged with regulating the securities industry, recently launched a toll-free help…

Too often investors learn of their broker’s true background, and past problems, too late. FINRA, the Federal Investor National Regulatory…

The Securities and Exchange Commission recently approved the Financial Industry Regulatory Authority’s (FINRA’s) proposed Rule 2040 regarding Payments to Unregistered…

The SEC holds Registered Investment Advisers (RIA’s) accountable to the highest standards for the advice they provide in exchange for…

The Financial Industry Regulatory Authority (FINRA) recently announced a new proposed rule that would prohibit member firms and registered representatives…