Hugh Kennedy
Topics flagged as "new for 2024" include crypto, OTC quotations in fixed income securities, advertised volume and the market access rule
FINRA is actively conducting risk-based reviews of firms' practices tied to off-channel communications
FINRA cautions that the use of AI tools could implicate virtually every aspect of a firm's regulatory obligations
Brokerage firms contemplating making Regulation Crowdfunding offerings available on their platform to customers need to notify SRO
Commission action aims at making the Treasury market more efficient, competitive, and resilient and improving risk management practices
"Effective practices" highlighted for incident preparation and response, the reporting of cyber incidents, and available resources and contact information
Credit Suisse Securities (USA) and two affiliates to pay over $10M to settle SEC charges that they provided prohibited underwriting and advising services to mutual ...
Four broker-dealers were charged by FINRA with violations relating to fully paid securities lending
New SEC regulatory agenda contains 43 items, spanning those in both the proposed and final rule stage
Examiners are looking to determine whether P&Ps are "reasonably designed" based on the costs, risks, and rewards of the investment strategies recommended to customers