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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"
FINRA enforcement action flags need to require multi-factor authentication for third-party service providers
Unrecognizable man taking notepad from his female colleague in the office. Focus is on his hand and note pad.
Some commenters also asserted that the proposed amendment to Rule 13d-1(b) raises significant concerns regarding harm to investment advisers and funds and would impose substantial ...
The SEC finalizes this rule that will increase the transparency and efficiency of the securities lending market by requiring certain persons to report information about ...

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