Violations of Reg BI's care and compliance obligations led to SEC charges against the London-based Laidlaw & Co. (UK)
Broker-dealers could optionally leverage catalog to administer education and training for their continuing education firm element programs
Broker-dealer failed to disclose that "a number of its financial professionals" had a legal or disciplinary history
The Commission's 2024 examination priorities report reveals that examiners will be scrutinizing the content of a broker-dealer's relationship summary
The Commission's move was prompted by a rulemaking petition submitted after the SEC's 2020 adoption of rule 15c2-11 amendments
Effective Nov. 30 FINRA is discontinuing the collection of data under rule 4540 used in the Integrated National Surveillance and Information Technology Enhancements program
Commission action creates a new regulatory framework featuring the required registration and regultion of security-based swap execution facilities
Commissioner characterized the penalties associated with off-channel communications-related enforcement actions as "astonishing"
FINRA enforcement action flags need to require multi-factor authentication for third-party service providers
FINRA report concludes that quantum computing could "significantly alter the securities industry in the future"