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BD Latest News

New FINRA regulatory notice focuses on minimum equity
The SRO suggests broker-dealers review their account approval P&Ps to ensure compliance
Online B-D's troubles may just be beginning
The CAT has been determined to meet the standards approved by the SEC
SRO expanding its recruiting efforts to ensure attracting candidates with diverse skill sets
Gensler has asked SEC staff to make best execution recommendations
E-mail claims that "late submissions may attract penalties."
FINRA is exploring amendments to its short interest program to improve regulatory and public utility
FINRA flags 21 common marketing methods it is seeing in advertising reviews
FINRA conducted reviews of over 63,000 broker-dealer communications filings

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