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The SEC and Justice Department last week jointly put out a guide to following the Foreign Corrupt Practices Act that offers definitions and examples of ...
The SEC's Enforcement Division has been focusing heavily on complex products, transactions, and practices, and has logged large numbers of actions over the past two ...
The Treasury Department has signaled that it wants to take a big look at anti-money laundering program requirements to see if they should be changed ...
A New York registered rep, over the course of seven years and 11 employers, failed to disclose on his Form U4 that he was subject ...
If inflating his firm's AUM on its Form ADV were his only crime, Eugenio Verzili might still have a job. This month the agency barred ...
The SEC's exam priorities for investment advisers include some new, as well as emerging risks, the Commission's exam chief said during a recent conference in ...
Carlo di Florio, the director of the SEC's Office of Compliance Inspections and Examinations, recently was asked what advice he had for new chief compliance ...
Investment advisers can now take their client disputes to FINRA. Recently, the SRO announced a process for investment advisers to use its dispute resolution processThe ...
FINRA has issued an investor's alert stating that firms will be evaluating requests for margin extensions on a case-by-case basis for customers in regions affected ...
FINRA has a special unit called a "case management team" that numbers about 10 people who coordinate regulatory intelligence available to the Enforcement Department. Created ...
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