The total assets of the now 3,340 broker-dealers grew by $1.7 trillion over the past 14 years
Report breaks down U.S. M&A activity trends over a 34-year period spanning 1990 to 2024
The Reg S-P issue stemmed from failing to notify insurance carriers when certain registered reps left the firm
The June 25 Commission action shifts the compliance deadline from December 31 to June 30, 2026
FinCEN issues order prohibiting "covered financial institutions" from engaging in any transmittals of funds to or from three Mexico-based financial institutions
Under settlement, firm will need to retain an independent consultant to review Bank Secrecy Act compliance
The SRO is monitoring data requests and procedures to make sure they are not "beyond what we should be asking for"
FINRA Board of Governors approves rule proposals concerning public communications and carrying agreements
Firm overstated trade volume in 3,300 instances by 446 million shares over a three-year period
Settlement stemmed from activity relating to a Texas-headquartered broker-dealer's incubation of three start-up companies