Broker-Dealers

JPMorgan did not promptly produce business communications sent or received using unapproved communications methods to the staff in the course of Commission investigations. As a ...

A peer shares an Excel file the adviser uses to "score" its broker-dealers as part of its best execution review

FINRA has wrapped its years long target examination of Unit Investment Trusts' early rollovers

The proposed shift addresses the current impact of Exchange Act rule 15c3-1 (net capital rule) on settlement timing, particularly on smaller firms

The SRO is on track to deliver its 2022 examination and risk monitoring report in early January

It can be difficult enough to sense that you have a good handle on compliance issues in your office, let alone to know what’s going ...

Comments should be received on or before January 3, 2022

The Commission has proposed amendments to the electronic recordkeeping and prompt production of records requirements applicable to B-Ds, SBSDs and MSBSPs

Aim is to train registered persons more effectively and reduce unnecessary impediments to requalification

"Broker-dealers cannot use static records for their own operational and compliance purposes, so many firms have two systems.  Requiring broker-dealers to maintain a wholly separate, ...