Tokenized securities and Reg NMS reform are two areas of current focus for Trading and Markets division
B-D was charged for failing to maintain a supervisory system reasonably designed to achieve compliance with rules prohibiting manipulative trading
"Crypto is forcing the Commission to confront its inner demons that have driven it toward ever more expansive readings of the securities laws"
This latest FinCEN AML proposal isn't directed at investment advisers, but would affect broker-dealers and other financial firms. You have until June 9 to comment
FinCEN and OFAC propose this rule suggesting compliance requirements tied to the recent GENIUS Act's approval of Stablecoins. You have until June 9 to comment
Three main goals are driving more transparency, improving efficiency, and giving firms more opportunities to be heard
The FFIC is aimed at helping broker-dealers to combat cybersecurity and fraud threats
Firm failed to reasonably supervise its employees' use of unapproved communications platforms for business purposes
AML cases yielded the most FINRA fines in 2025, marking the third time in the past five years AML has topped the list
'This recent FINRA action underscores the importance of ensuring that aggregated performance data is presented in a way that accurately the product being marketing'