Regulatory

SEC approves FINRA background check proposal

In late December, the U.S. SEC approved a FINRA background check proposal related to new and newly hired registrants.

By Staff |January 6, 2015

1 min read

Morgan Stanley targeted over mortgage securities sales

New court documents shed light on the bank's involvement in sales of mortgage securities.

By Staff |January 5, 2015

1 min read

Deutsche Bank to pay $3M over CFTC charges

Deutsche Bank has been ordered to pay a $3-million fine by the CFTC.

By Staff |December 29, 2014

1 min read

CRM2 could create tax nightmare

The next batch of CRM2 deadlines is only months away. If that seems like coal in your stocking, wait until you see what’s next.

By Staff |December 12, 2014

4 min read