Hugh Kennedy
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
Violations of Reg BI's care and compliance obligations led to SEC charges against the London-based Laidlaw & Co. (UK)
Broker-dealers could optionally leverage catalog to administer education and training for their continuing education firm element programs
Broker-dealer failed to disclose that "a number of its financial professionals" had a legal or disciplinary history
The Commission's 2024 examination priorities report reveals that examiners will be scrutinizing the content of a broker-dealer's relationship summary
The Commission's move was prompted by a rulemaking petition submitted after the SEC's 2020 adoption of rule 15c2-11 amendments
Effective Nov. 30 FINRA is discontinuing the collection of data under rule 4540 used in the Integrated National Surveillance and Information Technology Enhancements program
Commission action creates a new regulatory framework featuring the required registration and regultion of security-based swap execution facilities
Commissioner characterized the penalties associated with off-channel communications-related enforcement actions as "astonishing"