Hugh Kennedy
Determination to be made as to whether rules and P&Ps for arbitrator selection were complied with in Wells Fargo case
Robos must ensure their marketing materials don't mislead and that conflicts are disclosed to investors
FINRA executed "a more comprehensive review of firms' processes, practices and conduct" in several areas
The number of such Commission enforcement actions has now been pushed to 42, self-reporting suggested
The proposed modernization of the clearance and settlement process comes with a March 31, 2024 compliance date should final rules be adopted
The SRO flags over 20 different focus areas, including nearly a half dozen issues it will be eyeballing this year
Industry group concludes that the benefits of moving to T+0 wouldn't outweigh the risks
SRO reminds that firms need to be dialed in to what is considered 'prompt' execution in light of developing technology
A freshening up of Regulations SCI and S-P are among the changes that may be in the offing
New topics include the handling of trusted contact persons, the disclosure of order routing, and portfolio margining