The amended TRACE reporting requirements kick in next year and provide that firms’ aggregated reports to TRACE must reflect allocations with the same price and ...
Annual regulatory oversight report is the most anticipated of all FINRA's publications and garners greatest engagement
FINRA's voluntary compliance support tool is getting several enhancements
The amendments are aimed at better balancing 'the process for generating the list of public arbitrators sent to the parties in certain customer and industry ...
There’s a price to be paid for sidestepping the terms of a regulator’s enforcement action
The firm lacked adequate procedures to supervise whether customers were 'accurately informed about various features of the deferred variable annuities they were recommended'
A cycle exam of Deutsche Bank revealed that the firm failed to disclose expected investment banking compensation
The creation of a new regulatory framework for payment stablecoins is seen as a critical step in the development of mature digital asset markets
Broker-dealers can expect SEC examiners to ask about net capital rules, customer protection and their firms’ “internal processes, procedures and controls,” the Commission says in ...
FINRA recommends firms "give careful consideration" to whether they fall into the "larger" or "smaller" category for purposes of coming compliance dates