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BD Rules & Regulatory Actions

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Cambria opened an account for a customer even though Cambria was aware of numerous red flags as identified in its WSPs as a result of ...
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The Division encourages broker-dealers to review their practices, policies, and procedures with respect to Regulation Best Interest in order to address the issues raised in ...
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Comments will be accepted through March 31, 2023
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Moors & Cabot failed to fully and fairly disclose in its brochures or otherwise material information related to its own disciplinary history, as well as ...
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The SEC proposes to update the disclosure required for order executions in national market system stocks
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The proposed rule would prohibit a restricted competition trading center from internally executing certain orders of individual investors at a price unless the orders are ...
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This is the part of the SEC's proposed new Regulation Best Execution that calls for an annual review
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This is a proposed rule under the SEC's Regulation Best Interest that focuses on P&Ps and other obligations
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This is the SEC's proposed standard for its best execution proposed rule
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This SEC proposal would adopt variable minimum pricing increments for the quoting and trading of NMS stocks, reduce the access fee caps, and enhance the ...

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