BD Rules & Regulatory Actions

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After several requests by the Commission’s Examination and then Enforcement staff, Cantor conducted a multiyear lookback review for accounts that should have been assigned a ...
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During the relevant period, however, BACNAH’s Fraud Investigations Group used a $25,000 threshold, instead of the proper $5,000 threshold, with respect to transactions or attempted ...
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These proceedings arise out of the deletion by JPMorgan of approximately 47 million electronic communications in about 8,700 electronic mailboxes relating to the period January ...
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SCUSA contacted the Division of Enforcement upon uncovering off-channel communications potentially related to the business of its broker-dealer
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The proposed expansion would add the following entities to the definition of ‘‘SCI entity’’: registered security-based swap data repositories; registered broker-dealers exceeding an asset ...
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The SEC proposes a new rule and form and amendments to existing recordkeeping rules to require broker-dealers, clearing agencies, major security-based swap participants, the Municipal ...
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The SEC adopts a final rule to shorten the standard settlement cycle for most broker-dealer transactions from two business days after the trade date (T+2) ...
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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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