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BD Latest News

The exam overhaul has officially launched
Some firms have concluded wires are more trouble than they are worth
Reg BI arrives June 30: “The court knows what the timeline is. It’s up to the court”
Driscoll: The risk alert will be designed to “help firms prepare for potential exams”
Regulators were emphatic: there will be no delay in Reg BI
SEC “staff reminds broker-dealers that the term ‘investment strategy’ ... is to be interpreted broadly”
B-D agrees to pay $1.25 million penalty
FINRA is proposing to impose new supervisory duties on firms
The former CEO of a New York broker-dealer and one of his trusted employees are facing stiff prison terms after they were arrested on charges ...
Documentation is critical when questions arise about suitability
B-Ds taping procedures found to be lacking
UITs have again become a source of pain
An investment adviser/broker-dealer has agreed to pay state authorities $250,000 to settle claims that it failed to supervise a rogue broker/investment adviser, authorities have announced. ...
Schwartz impersonated a customer on two telephone calls to an annuity company
The enforcement action was a long time coming
Proposals address Reg BI, firm misconduct
A divided Commission has adopted a package of SEC rules and guidance that proponents hope will at long last bring some clarity to the securities-based ...
The U.S. House has passed a $1.4 trillion budget that will give SEC Chairman Jay Clayton a free hand to implement Reg BI but that ...

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