Regulation & Compliance

Independent broker/dealers and their reps have come a long way over the last few years. Track their progress.

As nervous retail investors, spooked by Wall Street's fading fortunes, started seeking a safer haven for their money in recent months and the potential to juice returns with seemingly no downside risk many were lured by offers of principal...

Bank of America settled with the SEC and state regulators today over allegations of fraud in connection with the sale of auction-rate securities, agreeing to buy them back from its retail customers at par.

Okay, maybe that is unkind. How about compliance helpers or specialists?

If you shadowed Betsy Smith during a typical day at her Raymond James office, you'd probably have a tough time figuring out what she actually does.

Diane Strickland says she got her first job in the financial services industry because she knew how to handle rejection over the phone.

Kathy Albach doesn't take messages or transfer calls as much as she used to when she first started out as a sales assistant.

When the branch manager, operations manager, administrator and one of the sales assistants left a Bloomington, Minn., Smith Barney branch at the same time, Donna Klicka stepped up to the plate.

Rules for departing reps’ client communications.

When a regulator fails to mean what it says.