Compliance Watch

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  FINRA to Stay Aggressive, Focus on Structured Products—Compliance Watch

  By Elizabeth D. Festa  |  June 23, 2011

  At times of great market volatility, says FINRA's Brad Bennett, suitability and marketing problems rise.

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  SEC Cracks Down on RIA, BD Compliance Officers--Compliance Watch

  By Elizabeth D. Festa  |  June 16, 2011

  Two recent SEC cases signal, says a former examiner, that CCOs and their firms are unaware of their vulnerability and liability.

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  Planners Beware: More Probes by CFP Board; Reg S-P Victory Gives It More Teeth—Compliance Watch

  By Elizabeth D. Festa  |  June 10, 2011

  CFP Board enforcement chief Shaw says 1,500 investigations launched in 2010; bankruptcies new focus.

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  Advisors Beware, Client Testimonials on Social Media = Advertising—Compliance Watch

  By Elizabeth D. Festa  |  June 2, 2011

  Steps that social-media using advisors should take to avoid getting dinged by SEC examiners: focus on testimonials and file retention on LinkedIn and Facebook.