SEC “staff reminds broker-dealers that the term ‘investment strategy’ ... is to be interpreted broadly”
B-D agrees to pay $1.25 million penalty
FINRA is proposing to impose new supervisory duties on firms
The former CEO of a New York broker-dealer and one of his trusted employees are facing stiff prison terms after they were arrested on charges ...
Documentation is critical when questions arise about suitability
B-Ds taping procedures found to be lacking
UITs have again become a source of pain
An investment adviser/broker-dealer has agreed to pay state authorities $250,000 to settle claims that it failed to supervise a rogue broker/investment adviser, authorities have announced. ...
Schwartz impersonated a customer on two telephone calls to an annuity company
The enforcement action was a long time coming
Proposals address Reg BI, firm misconduct
A divided Commission has adopted a package of SEC rules and guidance that proponents hope will at long last bring some clarity to the securities-based ...
The U.S. House has passed a $1.4 trillion budget that will give SEC Chairman Jay Clayton a free hand to implement Reg BI but that ...
New examination and risk monitoring structure in place
GPB raised the sum over five years and at its peak, more than five dozen broker-dealers signed on to sell the adviser’s funds. The B-Ds ...
Sanctioning of CCO illustrates perils facing small firm CCOs
Check your peers for a recipe on effective cybersecurity
The SEC has dropped its ADR hammer again, this time on a New York broker-dealer Jefferies. The firm will now pay nearly $4 million in ...
New York Attorney General Letitia James has filed suit against an investment adviser/broker-dealer who she says forged documents, violated the terms of a PPM and ...
The rule amendments initially advanced in 2016 have been a long time coming
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