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Broker-Dealers

Welsh placed orders for new issue municipal bonds with Dockside and Murphy to obtain bonds for Roosevelt’s inventory when he should have known that they, ...
Proceeding in contravention of your own WSPs can prove costly
Concerns expressed about expanding required learning to all registered persons
B-Ds supervisory systems and WSPs will be examined
Merely reciting the applicable rules heads the list
The outbreak of COVID-19 has had far-reaching effects, with small businesses being particularly affected by the closures and safety measures designed to slow the spread ...
Due to the intermittent inaccessibility of physical certificates at DTC as a result of ongoing concerns related to the effects of COVID–19, sell orders for ...
The final rule defines the term covered broker or dealer as ‘‘a covered financial company that is a qualified broker or dealer’’
At the time he was fired, Tropiano was married to the daughter of Respondent. Tropiano went to see Respondent, his father-in-law, for advice on finding ...
he aim is a more secure CAT, operating without sensitive PII
The start of equities and options reporting has commenced
FAQ tackles how new realities play with rules pertaining to gifts and entertainment
Fraudsters are using the names of registered reps to establish imposter websites
The net result of these changes would be a more secure CAT, operating without sensitive PII
Hester Peirce
I would have preferred the bolder step of confronting the CAT’s real and serious liberty implications
Pizzuti was associated with other broker-dealers registered with the Commission, some of which were also registered as investment advisers
A portion of the website links to an illegitimate registration site
After considering the comments received on the Proposal to rescind the Fee Exception,6 the Commission has determined that the Fee Exception is no longer appropriate ...
While both broker-dealers and investment advisers may be subject to a best interest standard of conduct, there are significant differences in the customer/client relationship covered
The serves to remind that compliance staff have a role in the entire process of statutory disqualification
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