Tag: compliance

A registered representative of NEXT Financial Group is accused of manipulating key figures and data used to monitor sales of real estate investment trusts to certain client groups,...

The firm is introducing a simplified Form 5500 compliance reporting process, marking the second phase of its compliance dashboard enhancement effort.

In a Q&A with PLANADVISER, Mirella deRose draws on her experience leading FINRA enforcement in describing what she sees as the most important elements of the regulator’s recently...

Many view this as a way to make their practices more efficient, plus add value.