Broker-Dealers

To be eligible for the exemption, the registered security-based swap dealer must comply with two relevant conditions to the parallel exemption from broker registration in ...

"The Commissions request comment on all aspects of the portfolio margining of uncleared swaps and non-cleared security-based swaps, including on the merits"

Under the proposed amendment, a shareholder could satisfy any one of these thresholds to be eligible to submit a proposal

The SEC and FINRA in effect issued a first quarter report card on how B-Ds and dual-registrants are doing in complying with the new regulation

Two SEC commissioners believe six-month relief for non-compliance presents unacceptable risk to investors

This form must be completed by municipal advisors that are organized entities, including sole proprietors (referred to herein as “municipal advisory firms” or “firms,” unless ...

"It should not provide a grace period for compliance with clear violations of law -- especially violations that put investor funds directly at risk.  Here, ...

SRO says "a key element in any firm's cybersecurity program is a robust authentication process"

The practice is "widely used" by broker-dealers, especially with customers

Principal considerations will contemplate a customer's age or mental impairment