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BD Latest News

OFG Financial Services only reviewed 0.26% of the e-mails its reps sent or received over a four-year period
Report addresses a materially broader range of topics than in prior years with two dozen focus areas flagged
Cyber is flagged as a "selected highlight" in FINRA's new Examination and Risk Monitoring report as risk increases
FINRA offers up a "Top 5" list of tools and resources the SRO believes would most benefit B-D compliance professionals
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Among the nearly 250 questions the SEC asks the industry in the proposal, more than once the agency touches on its potential fallout on IAs
FINRA details questions firms can use to evaluate their cyber program given increased ransomware threat
FINRA alert flags questions broker-dealers may wish to consider when evaluating their cybersecurity incident response plans
FINRA "strongly encourages" firms and their customers to "give serious consideration to the importance of naming a trusted contact
Securities and Exchange Commission headquarters
The SEC approved four separate, but interrelated, proposals that affect equity market structure
Compliance lapse led Barclays Capital to overstate its advertised trading volume in thousands of instances and by 147 million shares
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