Hugh Kennedy
Initiative seen as improving transparency and enhancing the regulatory audit trail in the securities lending market
The proposed amendments retain the contours of rule 3240, strengthen its general prohibitions and modernize the "immediate family" exception
SRO has confirmed the value and effectiveness of rule 4730 and will maintain the BCP rule without change
Firms should review their relationship summaries in light of SEC staff observations on Form CRS
It took two communications from examiners to Newman Ladd's CCO before the firm acted on filing its Form CRS
J.P. Morgan Securities employees often communicated about securities business on their personal devices and those records were not preserved
The SEC charged Wedbush with the unlawful distribution of nearly 100 million shares of more than 50 low-priced microcap companies
Fully 54 items appear on the new edition of the SEC's rule list
In the commissioner's view, comment periods should run at least 60 days, or more
FINRA has wrapped its years long target examination of Unit Investment Trusts' early rollovers