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BD Latest News

FINRA is warning retail investors to take a close look at who they take their stock tips from. A Jan. 29 risk alert, “Following the ...
The SRO flags 18 priority focus areas grouped into firm operations, communications and sales, market integrity, and financial management
B-Ds encouraged to embrace effective practices employed by their peers
Feedback sought on impact to firms' operations and business models and the effectiveness of BCPs
A regrouping of questions, along with better validations and completeness checks featured
Commission is encouraging innovation around the application of the customer protection rule to digital assets
Initiative has yielded $2.7M in restitution to customers owning 3,900 accounts
Supervisory failures resulted in reps making unsuitable recommendations and excessively trading accounts
Broker-dealer compliance officers have been handed a scoresheet for preparing for SEC exams checking on compliance with Reg BI via a new statement from the ...
Largest source of revenue not detailed in retail communications over a three-year period

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