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Broker-Dealers

Broker-dealer was charged with failing to reasonably supervise the use of personal e-mails for business-related communications
Brief was filed against the SEC's approval of a CAT funding model deemed "arbitrary and capricious"
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The Reg BI violations affected about 5,900 retail accounts, causing the clients to pay $936,000 more in expenses for substantially equivalent funds than they otherwise ...
Bill St. Louis recently detailed what's on the horizon for broker-dealer enforcement in 2024
FINRA's annual regulatory oversight report highlights new best execution questions you should answer, including on execution quality reviews
A voluntary, three-year remote inspections pilot program allowing for fulfillment of inspection obligation of qualified branch offices is adopted
SEC Chairman welcomes the coming change to the "market plumbing" of clearance and settlement
Broker-dealer didn't regularly review, assess, or update keywords used by the firm to flag e-mails for review
Financial technology concept. FinTech. Foreign exchange.
A FINRA review of more than 500 crypto-asset related retail communications identified "potential violations" in 70% of the communications
Cryptocurrency has found its way onto both the SEC's and FINRA's list of 2024 focus areas
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