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Broker-Dealers (1032)
Your search for Broker-Dealers returned 1032 results.
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9/12/2019 | Content area: Broker-Dealer
It’s no secret that the self-regulatory organizations developing the Consolidated Audit Trail have missed a slew of milestone completion dates (BD Wat...
9/12/2019 | Content area: Broker-Dealer
Concerns about the protection of personally identifiable information included in the Consolidated Audit Trail has long been an issue for regulators an...
9/05/2019 | Content area: Broker-Dealer
Deficient trading reviews conducted by an inexperienced and untrained compliance associate has led to SEC charges that a New York-based broker-dealer ...
9/05/2019 | Content area: Broker-Dealer
Citing concern about potential conflicts of interest and inadequate training, FINRA has issued new guidance detailing when firms are obligated to regi...
9/05/2019 | Content area: Broker-Dealer
FINRA has periodically enumerated concerns about the risk management practices of firms that provide direct market access to customers.    And periodi...
8/29/2019 | Content area: Broker-Dealer
A Russia-based research and rating firm has been charged by the SEC with failing to disclose that it was compensated by certain worldwide issuers whos...
8/22/2019 | Content area: Broker-Dealer
When does a customer account fee become unreasonably excessive? Does FINRA have a role in monitoring such fees, especially among consenting profession...
8/22/2019 | Content area: Broker-Dealer
Two more enforcement actions simultaneously announced by the SEC evidence the Commission’s continued focus on abusive practices in the handling of “pr...
8/22/2019 | Content area: Broker-Dealer
FINRA is trying to make it easier than ever for firms to get credit for what it considers “extraordinary cooperation.” Perhaps the best evidence that ...
8/15/2019 | Content area: Investment Adviser | Broker-Dealer
The SEC Aug. 15 released a series of videos aimed at educating retail investors on the differences between investment advisers and broker-dealers in a...
8/15/2019 | Content area: Broker-Dealer
There’s no mistaking that the protection of senior investors remains a top priority for FINRA. At the start of the year, the SRO flagged the protectio...
8/15/2019 | Content area: Broker-Dealer
SEC Wins Jury Trial Against Broker Charged with Insider Trading Litigation Release No. 24564 / August 15, 2019 Securities and Exchange Commission v....
8/08/2019 | Content area: Broker-Dealer
Issuance activity in foreign sovereign debt securities has accelerated “substantially” in recent years and FINRA is moving to secure information on wh...
8/08/2019 | Content area: Broker-Dealer
A New York assemblyman is preparing legislation that will bring the ongoing battle over whether broker-dealers owe a fiduciary duty to their clients t...
8/07/2019 | Content area: Broker-Dealer
The Commission’s complaint alleged that, from at least 2014 until October 2018, Kelly raised more than $1,000,000 from at least 12 investors, promisin...
8/01/2019 | Content area: Broker-Dealer
Background checks are a critically important tool in the arsenal of firms serving as gatekeepers to protect their firm’s investors from “bad actors.” ...
8/01/2019 | Content area: Broker-Dealer
The SEC has upheld a FINRA panel’s decision to suspend the CCO of a Syosset, New York-based broker-dealer for four months for failing to disclose a pa...
7/31/2019 | Content area: Broker-Dealer
SEC Obtains Final Judgments Against Three Former Executives of Brokerage Consulting Business in Transition Management Fraud Case Litigation Release N...
7/25/2019 | Content area: Investment Adviser
A pair of Alaska investment adviser managing principals didn’t properly disclose payments their firm received from a private real estate fund that the...
7/25/2019 | Content area: Broker-Dealer
The Commission’s complaint alleged that, in connection with the offer, purchase, or sale of securities in the form of units of membership interests an...


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