Financial Regulatory Forum

Brokerages stumble on following in-house supervision rules – study

By Guest Contributor
September 11, 2012

By Suzanne Barlyn

CORONADO, Calif., (Reuters) – Wall Street’s brokerages are falling short when it comes to policing their brokers, according to a nationwide series of examinations by state regulators.

FINRA’s new suitability rule looms, with expanded customer-information requirements

By Guest Contributor
June 27, 2012

By Nick Paraskeva

NEW YORK, June 27 (Thomson Reuters Accelus) - FINRA’s new suitability rule expanding customer information requirements and applying them to more transactions the is set to go into effect July 9, after delays requested by firms to get more time to adapt.