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Broker-Dealers (970)
Your search for Broker-Dealers returned 970 results.
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1/10/2019 | Content area: Broker-Dealer
Seeing continued “problematic” cybersecurity practices in its examination and risk monitoring program, FINRA has stepped in with a new report detailin...
12/20/2018 | Content area: Broker-Dealer
Failures in the anti-money laundering programs of UBS Financial and UBS Securities have resulted in triple jeopardy for the firms and a total of $15 m...
12/20/2018 | Content area: Broker-Dealer
For the second year running, FINRA has flagged issues its examiners are finding with broker-dealers’ anti-money laundering programs. The SRO’s 2018 Re...
12/20/2018 | Content area: Broker-Dealer
FINRA has again delivered an early holiday present for the brokerage industry in the form of the SRO’s 2018 Report on Examination Findings. The second...
12/19/2018 | Content area: Broker-Dealer
The 13 individual defendants charged were among Woodbridge's top revenue producers, selling more than $350 million of its unregistered securities to m...
12/06/2018 | Content area: Investment Adviser
Despite the comment period for the SEC’s trio of fiduciary duty-related proposals closing this past summer, the industry continues to weigh in on prop...
12/03/2018 | Content area: Broker-Dealer
The Commission is adopting a new rule under the Securities Act of 1933 to establish a safe harbor for an unaffiliated broker or dealer participating i...
11/21/2018 | Content area: Investment Adviser
The SEC has yet again offered up its current thinking on digital securities. On the same day that the Commission settled charges against two more comp...
11/06/2018 | Content area: Broker-Dealer
Order routing and execution practices have morphed in a big way over the past 18 years as technology and innovation have yielded securities markets th...
11/05/2018 | Content area: Broker-Dealer
The Securities and Exchange Commission (“Commission” or “SEC”) is adopting amendments to Regulation National Market System (“Regulation NMS”) under th...
11/01/2018 | Content area: Broker-Dealer
A too narrow interpretation about requirements surrounding the disclosure of customer complaints resulted in LPL Financial failing to file or amend re...
10/25/2018 | Content area: Broker-Dealer
Having recently revamped its enforcement efforts, FINRA is now taking aim at its disjointed examination program. Details have been hard to come by sin...
10/25/2018 | Content area: Broker-Dealer
A cryptocurrency trading suspension and an emergency halting of a planned initial coin offering have both been initiated by the SEC this month. The ma...
10/12/2018 | Content area: Broker-Dealer
The Securities and Exchange Commission (“Commission”) is reopening the comment period and requesting additional comment (including potential modificat...
10/11/2018 | Content area: Broker-Dealer
The phrase better late than never comes to mind now that SEC commissioners have voted 4-1 to reopen the comment period on a 2012 proposal governing ca...
10/11/2018 | Content area: Broker-Dealer
FINRA has determined to address arbitration forum users’ concern that non-parties wanting to object to an order or subpoena have insufficient time to ...
9/27/2018 | Content area: Broker-Dealer
It’s always best when the left hand knows what the right hand is doing. That doesn’t appear to have been the case with TD Ameritrade’s Institutional R...
9/21/2018 | Content area: Broker-Dealer
The Commission is proposing an amendment to the exemption provisions in the broker-dealer annual reporting rule under the Securities Exchange Act of 1...
9/20/2018 | Content area: Investment Adviser
The SEC needs to go back to the drawing board and revise and retest the content, language, and format of its proposed Customer Relationship Summary fo...
9/20/2018 | Content area: Broker-Dealer
With the Oct. 1 compliance date for FINRA rules tied to qualification and registration requirements fast approaching, the SRO has released nearly 30 f...


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