Regulation & Compliance

Independent b/ds are on the hook for their reps’ behavior, even those thousands of miles away. A new compliance consultancy wants to help firms close that gap.  

Richard G. Duncan knew the investment was likely a scam, yet he failed to let his clients know, the SEC claims.

Shapiro used money from new investors to repay earlier ones and stole as much as $95 million.

The new rules hold brokers of annuities to a best interest standard and could be a model for other states to follow.

Chris Flint has been endorsed by the Financial Services Institute and the Bank Insurance & Securities Association in his attempt to fill a 'Large Firms' seat on the Board of Governors for the regulatory agency.

The form’s rules create several challenges. Don’t delay working on it.

Will the state's proposed rule be a "shot heard round the world" or "effectively eliminate brokerage business in New Jersey?"