BD Rules & Regulatory Actions

Credit Suisse’s recordkeeping failures likely impacted the Commission’s ability to carry out its regulatory functions and investigate violations of the federal securities laws across these ...

These proceedings arise out of the widespread and longstanding failures of employees throughout the firms, including at senior levels, to adhere to certain of these ...

The staff continued to observe deficiencies relating to supervision, including many of the same types observed in the 2017 Risk Alert



"The following is a staff bulletin styled as questions and answers reiterating the standards of conduct for broker-dealers and investment advisers in identifying and addressing ...



The Proposed Rules also would not exclude investment advisers registered under the Advisers Act. A registered investment adviser trading for its own proprietary account, for ...

Given the changing conditions among markets to bring together buyers and sellers of securities, the Commission is proposing to amend Exchange Act Rule 3b-16

JPMorgan did not promptly produce business communications sent or received using unapproved communications methods to the staff in the course of Commission investigations. As a ...

Comments should be received on or before January 3, 2022