Broker-Dealers

FINRA Requests Comment on a Proposal to Require Registration of Associated Persons Involved in the Design, Development or Significant Modification of Algorithmic Trading Strategies ...
Statement on Jury Verdict in Willie Gault/Heart Tronics Case
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Remarks at the 2015 Mutual Funds and Investment Management Conference
Remarks at the University of Notre Dame, Mendoza College of Business, Center for the Study of Financial Regulation
Just as OCIE did last year before launching its cybersecurity initiative that visited some 100 firms (IA Watch, April 21, 2014), look for the agency ...
Understanding Disqualifications, Exemptions and Waivers Under the Federal Securities Laws
Sales of securities on a subscription-way basis at NYLIFE typically involve a NYLIFE representative meeting with a customer, recommending a security, assisting the customer in ...
A Watched Pot Never Boils: the Need for SEC Supervision of Fixed Income Liquidity, Market Structure, and Pension Accounting
SEC Approves Consolidated FINRA Rule Regarding Background Checks on Registration Applicants Effective ...
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