BD Latest News

B-D kept it clean for 20-plus years, Commission says
SRO is asking B-Ds to "promptly" notify their risk monitoring analyst about digital assets plans
Feedback sought on younger, novice investors and those not working with a registered investment professional
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."
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