FINRA Begins Sweep on Order Routing, Inducements, and Conflicts of Interest

Just a few weeks ago, FINRA sent targeted examination letters to a select group of firms requesting information as part of a review of how firms handle the conflicts of interest related to payments or other inducements for order routing. These letters are coming from the Trading & Financial Compliance Examinations (TFCE) section in Market… READ MORE

Stop Waiting – The DOL Fiduciary Rule Implementation is June 9th

Memorial Day weekend will feel more like Labor Day Weekend for firms who have been taking a “wait and see” approach to the DOL Fiduciary Rule. Labor Secretary Alexander Acosta confirmed last night that the DOL Fiduciary Rule will not be delayed beyond June 9th.  While CCOs who have created, implemented and trained the field… READ MORE