Hugh Kennedy
No enforcement action will be recommended if a firm relies on CRD to satisfy its record retention requirement for Form U4 filings electronically signed
n Oct. 17 the crypto task force will address financial surveillance and privacy in a roundtable session
Broker-dealer's marketing materials deemed "false and misleading" concerning the speed of the provision of market data
The new e-learning program is touted as empowering compliance professionals to combat crypto-related fraud
The SEC and Congress are considering changing laws to allow for the delivery of financial documents electronically as the default delivery method
Move will make it easier for firms to provide associated persons with uniform registration forms and pre-dispute arbitration information
No later than Oct. 1 look for the posting of the final topics for inclusion in the 2026 Regulatory Element learning plan
"Pump-and-dump" and "ramp-and-dump" schemes will be an initial priority as will gatekeepers
Securities lending and short sale rulemakings to be reviewed in wake of court of appeals decision
Firm's supervisory system did not provide for a review or process to determine whether preliminary IPO prospectuses had been delivered successfully to institutional customers