Broker-Dealers

Over a three-year period, firm experienced five cyber events but didn't file SARs

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 ...

Comments will be accepted through March 31, 2023

Enforcement action against Hunnicutt & Co. illustrates the price for falling short of meeting the independent AML testing requirement

Of the two dozen focus areas identified in new FINRA report, AML garners the most ink from the SRO

Moors & Cabot failed to fully and fairly disclose in its brochures or otherwise material information related to its own disciplinary history, as well as ...

The SEC proposes to update the disclosure required for order executions in national market system stocks

The communications preservation obligation spans the likes of e-mails, instant messages, text messages, chat messages, and interactive blogs

OFG Financial Services only reviewed 0.26% of the e-mails its reps sent or received over a four-year period

Report addresses a materially broader range of topics than in prior years with two dozen focus areas flagged