Home Broker-Dealers BD Latest News

BD Latest News

FINRA has been coordinating with the SEC to make sure exam efforts are not being duplicated
SRO has received good feedback, both internally and externally, on exams restructuring
he remote working environment has caused new cyber concerns to emerge
SRO is urging firms to evaluate and, as appropriate, mitigate the financial risks of ACH abuse
Exam findings offer an opportunity for firms to review and enhance their AML programs
The COVID-19 pandemic did not slow down the SRO's enforcement program last year
New guidance prompted by recent price volatility and trading volume of certain stocks
The rules adopted March 10 come with effective dates ranging from April 15 to Sept. 1
SRO covers its current enforcement process, how long it takes, and the steps involved
FINRA is still seeing failures to identify and apply relevant discounts or waivers
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination