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Among the nearly 250 questions the SEC asks the industry in the proposal, more than once the agency touches on its potential fallout on IAs
FINRA details questions firms can use to evaluate their cyber program given increased ransomware threat
FINRA alert flags questions broker-dealers may wish to consider when evaluating their cybersecurity incident response plans
FINRA "strongly encourages" firms and their customers to "give serious consideration to the importance of naming a trusted contact
Securities and Exchange Commission headquarters
The SEC approved four separate, but interrelated, proposals that affect equity market structure
Compliance lapse led Barclays Capital to overstate its advertised trading volume in thousands of instances and by 147 million shares
Amendments are aimed at more timelier reporting and the enhancement of the regulatory audit trails for U.S. Treasury securities
Update offers questions for firms to consider when evaluating their supervisory systems and risks related to options accounts approvals and monitoring
FINRA is seeking a list identifying each crypto-related communication provided and firms WSPs
Small-cap IPOs are increasingly being affected by the "ramp-and-dump" schemes

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