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Broker-dealers who advance their customers cash from sweep accounts won’t have the outlay count against their net assets while they wait for banks to make ...
Clayton mentioned upcoming OCIE risk alerts related to examining for these new regulatory responsibilities
Jay Clayton
We believe that the June 30, 2020 compliance date for Reg BI and other requirements, including the requirement to file and begin delivering Form CRS, ...
FINRA wants communication on BCPs to be a two-way street
Municipal advisors will now have an additional 45 days to file Form MA updates
SRO has reported seeing successful "social engineering" attacks
The Request asks about non-compliance with Rule 15c3-1 if broker-dealers treat certain receivables resulting from bank sweep programs as allowable assets
Find links to certain SEC Division of Trading and Markets-related documents in response to the effects of COVID-19
The disruptions resulting from COVID-19 mentioned above could hamper the efforts of municipal advisors to timely meet filing deadlines for annual updates to Form MA
IT professionals across the financial services industry are taxed to the max
Broker-dealers and even investment advisers who are worried about complying with European research rules that conflict with American law shouldn’t wait to get their affairs ...
BMA Securities violated the rule on hundreds of occasions by failing to close out allocated fail to deliver positions
Sideletter
SEC enforcement should focus on finding individuals responsible for wrongdoing, Democratic Commissioner Allison Herren Lee told a crowd of compliance professionals at the Investment Adviser ...
Sweep is the first announced by the SRO in 2020
For the fourth straight year, AML tops the list
We are proposing to modernize and simplify the Securities Act integration framework for registered and exempt offerings
Eight new FAQs cover six core areas
Adjusting or building upon current systems of supervision/compliance an option
Look for the regulations to be enforced after Sept. 1
Two years after proposal, FINRA appears no closer to finalizing OBA rules
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