Broker-Dealers

B-Ds that conduct a substantial securities business and thus are in a position to potentially pose significant risk to investors and to the fair, orderly, ...
Investment knowledge was found to be particularly low for new investors
FINRA is warning retail investors to take a close look at who they take their stock tips from. A Jan. 29 risk alert, “Following the ...
The SRO flags 18 priority focus areas grouped into firm operations, communications and sales, market integrity, and financial management
B-Ds encouraged to embrace effective practices employed by their peers
From 2013 and 2016, while she was associated with the brokerage firm, McKinley stole nearly $300,000 from the accounts of the elderly client
Feedback sought on impact to firms' operations and business models and the effectiveness of BCPs
A regrouping of questions, along with better validations and completeness checks featured
Commission is encouraging innovation around the application of the customer protection rule to digital assets
Initiative has yielded $2.7M in restitution to customers owning 3,900 accounts
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