Home Broker-Dealers

Broker-Dealers

Exam findings offer an opportunity for firms to review and enhance their AML programs
The DOE seeks to remind firms of their obligations under AML rules and regulations and to assist broker-dealers in reviewing and enhancing their AML programs, ...
The COVID-19 pandemic did not slow down the SRO's enforcement program last year
New guidance prompted by recent price volatility and trading volume of certain stocks
The rules adopted March 10 come with effective dates ranging from April 15 to Sept. 1
SRO covers its current enforcement process, how long it takes, and the steps involved
FINRA is still seeing failures to identify and apply relevant discounts or waivers
Broker-dealer custody of digital asset securities raises certain compliance questions with respect to the Customer Protection Rule
Commissioner suggests best way to address potential conflict is not to ban practice but require better disclosure
The move to T+2 in 2017 came with the requirement to evaluate a shorter settlement cycle within three years
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination