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BD Rules & Regulatory Actions

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The staff of the Division of Trading and Markets releases these frequently asked questions relating to crypto assets and distributed ledger technology
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The SEC adopts changes to the B-D net capital rule and customer protection rule to permit certain B-Ds that perform a daily reserve computation for ...
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Paulson filed a SAR in which the narrative stated that in reviewing a request to approve margin trading for a client’s account. However, failed to ...
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The didn't contain the information as required by FinCEN, such as the “five essential elements”—namely the “who, what, when, where, and why” of the suspicious ...
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This SAR narrative failed to include all of the information required by FinCEN, including the time-frame of the suspicious trades; details about the trading, such ...
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This new SEC final rule amends NMS rules regarding minimum pricing increments for the quoting of certain NMS stocks. It also reduces the access fee ...
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Thrivent promptly identified and reported the violations during an SEC examination and paid $22k to 846 retail customers as a result
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Vistia Capital did not timely amend its Form CRS to disclose that one of its financial professionals had disciplinary history as required
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State Farm failed to establish, maintain, and enforce written policies and procedures reasonably designed to achieve compliance with Regulation BI because it did not provide ...
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The rep recommended a $50,000 L Bond with a 5-year term to a retail customer: (1) who was a 63-year old semi-retiree; (2) who had ...
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