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
A portion of the website links to an illegitimate registration site
The serves to remind that compliance staff have a role in the entire process of statutory disqualification
AML compliance staffing since increased by "many dozens"
The December 2021 phase-out date has FINRA cautioning on need for preparation
The total number of B-Ds declined 3% over the past year
The impetus is growing belief B-Ds will continue to conduct business remotely
The final rule seeks to implement the orderly liquidation provisions ... in a manner that is designed to help reduce both the likelihood and the ...
A review by the SRO has revealed deficiencies
Prompt notification of risk monitoring analyst requested
The rule would impose supervisory responsibilities on many firms for the first time
SG Americas will pay a $3.1M fine for inaccurate blue sheets
A Massachusetts broker-dealer and its top salesman will each pay $50,000 to settle SEC claims that they misled investors on their ability to execute sophisticated, ...
New order updates filing threshold for first time in nearly 30 years
The B-D violated the provision prohibiting lending shares to settle sale orders marked "long"
SRO reveals current enforcement, examination and rulemaking priorities
The SEC has filed a lawsuit against a long-time broker-dealer, alleging that he pilfered nearly $1 million from elder clients—one of them a World War ...
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