The SEC extends the compliance date for amendments requiring certain broker-dealers to perform daily reserve computations and make required deposits into their reserve bank accounts ...
This paper examines registered broker-dealers and their activities from 2010-2024, and provides an analysis of the industry, structure of activity of different types of broker-dealers, ...
The staff of the Division of Trading and Markets releases these frequently asked questions relating to crypto assets and distributed ledger technology
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 ...
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 ...
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 ...
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 ...
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 ...
Thrivent promptly identified and reported the violations during an SEC examination and paid $22k to 846 retail customers as a result
Vistia Capital did not timely amend its Form CRS to disclose that one of its financial professionals had disciplinary history as required