BD Latest News

FINRA's short sale reporting program enhancements proposal yielding a great deal of industry feedback
Risk tolerance, investment objective, financial condition and age ignored with unsuitable VSRP recommendations
The imposition of additional obligations on broker-dealers with a significant history of misconduct has been approved
The new interpretations impact the net capital rule and the customer protection rule
Lieutenants ran boiler room that bilked retail investors, feds claim
FINRA will implement changes effective Oct. 1 to its private placement rules
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

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