The U.S. SRO aims to detect misconduct in under-the-radar market
Firm's systems failed to spot clients who were eligible for cheaper fund series
Sales practices, supervisory issues dog alt fund sales, says the United States Financial Industry Regulatory Authority
American SRO proposes rule to accelerate resolutions for vulnerable investors
Firm violated SEC and SRO rules, including analyst disclosure requirements
Software weakness exposes firms to risk of theft and fraud
Early rollovers result in higher sales charges, suitability issues
The regulator will turn off its over-the-counter trading system on Nov. 8
U.S. firms' compliance and surveillance programs need review, the SRO says
SEC, FINRA, NASAA join forces in investor protection push