TITLE

SEC, FINRA: Broker-Dealers Need to Keep Closer Tabs on Branch Offices

AUTHOR(S)
Barrett, Larry
PUB. DATE
January 2012
SOURCE
Financial Planning;Jan2012, Vol. 42 Issue 1, p22
SOURCE TYPE
Periodical
DOC. TYPE
Article
ABSTRACT
The article focuses on the joint regulatory notice and risk alert issued by the U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) for broker-dealers on being mindful about their branch offices along with helpful tips for remaining in compliance.
ACCESSION #
70703291

 

Related Articles

  • SEC is amending broker-dealer form. Hume, Lynn // Bond Buyer;05/04/99, Vol. 328 Issue 30633, p4 

    Reports that the United States Securities and Exchange Commission has proposed amending its broker-dealer registration rules and form. Aim to provide broker-dealers with a one step registration process over the Internet-based Central Registration Depository system; Appointment of James Thomas...

  • Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Withdrawal of Proposed Rule Change To Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook. O'Neill, Kevin // Federal Register (National Archives & Records Service, Office of;8/8/2012, Vol. 77 Issue 153, p47470 

    The article presents a notice from the U.S. Securities and Exchange Commission regarding the withdrawal of proposed rule from Financial Industry Regulatory Authority Inc. (FINRA) that would have adopted NASD Rule 2340, Customer Account Statements, with certain changes as FINRA Rule 2231 in the...

  • GAO Study Calls for Greater SEC Oversight of FINRA. Mont, Joe // Compliance Week;Jul2012, Vol. 9 Issue 102, p8 

    The article reports on the call for the improvement of the U.S. Securities and Exchange Commission's (SEC) oversight of the Financial Industry Regulatory Authority (FINRA).

  • SEC OKs Tougher FINRA Rule on Expungement of Broker Black Marks.  // Investment Advisor;Sep2014, Vol. 34 Issue 9, p16 

    The article reports that the Securities and Exchange Commission (SEC) has approved the rule presented by the Financial Industry Regulatory Authority (FINRA) regarding the arbitration settlements on investor agreement in order to clear black marks from a broker's record.

  • Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Withdrawal of Proposed Rule Change To Adopt Rules Regarding Supervision in the Consolidated FINRA Rulebook. Murphy, Elizabeth M. // Federal Register (National Archives & Records Service, Office of;10/11/2011, Vol. 76 Issue 196, p62890 

    The article focuses on Financial Industry Regulatory Authority's (FINRA) filing with the U.S. Securities and Exchange Commission of the proposed rule change to adopt rules regarding supervision in the FINRA rulebook in pursuant to the Securities Exchange Act of 1934.

  • MSRB files Rule G-38 amendment with the SEC. Ferris, Craig T. // Bond Buyer;11/25/97, Vol. 322 Issue 30280, p4 

    Reports that the Municipal Securities Rulemaking Board (MSRB) has filed an amendment to Rule G-38 with the US Securities and Exchange Commission (SEC). Aim to give municipal securities dealers the choice of disclosing their consulting arrangements on an issue-specific or issuer-specific basis;...

  • Crowell Weedon First Firm to Be Hit By SEC For USA Patriot Act Violations. Hume, Lynn // Bond Buyer;5/23/2006, Vol. 356 Issue 32387, p5 

    The article provides updates on the violation of Crowell, Weedon & Co. of the USA Patriot Act. The firm, a Los Angeles-based broker-dealer involved in municipal bonds and other securities market, has failed to properly document its customer identification program for about 2,900 new customer...

  • SEC lodges Y2K charges against 9 transfer agents. Hendrickson, Mark // Securities Industry News;01/11/99, Vol. 11 Issue 2, p1 

    Focuses on the enforcement actions filed by the United States Securities and Exchange Commission (SEC), against nine transfer agents, for failing to provide timely reports on the steps they are taking to deal with the year 2000 (Y2K) problem. Joint enforcement actions taken in October 1998 with...

  • FINBA's Push for Greater Broker Oversight. Barack, Lauren // On Wall Street;Jun2009, Vol. 19 Issue 6, p32 

    The article reports that Financial Industry Regulatory Authority (FINRA) is proposing to make the disciplinary records of brokers permanently available to the public on its BrockerCheck site. According to the 2009 FINRA rule 8312, it states that data about a broker who leaves his job or is...

  • SEC Warns of Stock Scams Related to Gulf Oil Spill.  // Money Management Executive;6/7/2010, Vol. 18 Issue 23, p6 

    The article reports on the initiative of Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) to warn the investors regarding stock scams in oil spills in the Gulf of Mexico.

Share

Read the Article

Courtesy of THE LIBRARY OF VIRGINIA

Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics