The industry group says current rules are outdated and overly broad, urging reforms to better reflect modern communication ...
An annual PCAOB report details an increase in the percentage of broker-dealer financial reports with audit deficiencies and offers perspective on the nature of the deficiencies and advice for avoiding ...
The Public Company Accounting Oversight Board (PCAOB) has published a new staff document titled “Broker-Dealer Audit Focus: Review Engagements Regarding Exemption Reports”. The publication is part of ...
The Financial Industry Regulatory Authority is probing broker-dealer firms involved in taking small foreign companies public, ...
Broker-dealer advocates are calling for an amendment to a 2001 Financial Industry Regulatory Authority (FINRA) rule, arguing that the current regulation fails to reflect the characteristics and ...
A broker-dealer (the “Dealer”) entered into a cease-and-desist order with the Securities and Exchange Commission for failing to maintain and enforce written policies and procedures reasonably designed ...
NEW YORK — Independent-contractor broker-dealers and their registered representatives face pressure on all fronts, from recruiting and proper practice management to compliance and the best way to ...
NEW YORK--(BUSINESS WIRE)--Global professional services firm Alvarez & Marsal (A&M) announces the appointment of Christopher Chatfield as Managing Director within its Disputes and Investigations (DI) ...
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