BD Latest News

The pandemic conditions necessitating the original extension "persist and in fact appear to be worsening"
Continuing ed, security-based swaps, and statutory disqualifications addressed in proposals
It is believed that DLT "has the potential to revolutionize the markets"
This time, the domain name to watch out for is ""
rading and Markets is concerned about illicit activities involving low-priced securities transactions
The SRO seeks five key items via its information request letter
Firms will be required to address registered persons being named as beneficiaries or holding positions of trust for customers come Feb. 15
The SEC and FINRA in effect issued a first quarter report card on how B-Ds and dual-registrants are doing in complying with the new regulation
Two SEC commissioners believe six-month relief for non-compliance presents unacceptable risk to investors
SRO says "a key element in any firm's cybersecurity program is a robust authentication process"

Copyright PEI Media

Not for publication, email or dissemination