Alan J. Foxman

Make sure not to confuse it with the SEC’s self-reporting program.

The SEC says broker-dealers may treat investment advisors as if they were subject to the AML Rule — under certain conditions.

Not a great idea, says Alan Foxman, but if you’re determined, there may be a way.

Deciding what does or doesn’t constitute a “material change” can be a tough call.

Due to a 2010 FINRA rule change the answer is — with difficulty.

At this stage it's not an actual data breach, but it could become one.

There are red flags that may be pointing to elder fraud in a client account.

FINRA Rule 3210 typically requires permission for brokerage accounts.

An advisor was terminated after accepting money from a brother, who was also a client. Is such a loan allowed?

Having ‘fessed up to improper 12b-1 fee disclosures, dually registered advisors might still be excluded by FINRA.