When it comes to AI, the use of third-party vendors is the current, primary driver, making supervision critical
The FINRA AML enforcement action demnonstrates the SRO's practice of "progressive discipline"
The amendments expand the scope of entities subject to Exchange Act rule 605, and modify the content of order information reported
Come June 30, rule amendments aimed at improving the accessibility of order routing disclosures for NMS stocks will be in place
Broker-dealer was charged with failing to reasonably supervise the use of personal e-mails for business-related communications
Brief was filed against the SEC's approval of a CAT funding model deemed "arbitrary and capricious"
Bill St. Louis recently detailed what's on the horizon for broker-dealer enforcement in 2024
FINRA's annual regulatory oversight report highlights new best execution questions you should answer, including on execution quality reviews
A voluntary, three-year remote inspections pilot program allowing for fulfillment of inspection obligation of qualified branch offices is adopted
SEC Chairman welcomes the coming change to the "market plumbing" of clearance and settlement