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"We continue to believe it is important to emphasize that compliance programs, CCOs and other compliance staff play critically important roles at firms .... One ...
A Gary Gensler-led SEC will skirr market structures—including payments-for-order flow—and may even be open to rulemakings to fix problems it finds there, the would-be chairman ...
The "degenerates" of wallstreetbets wanted attention. Now they're getting it.
In sharing the focus areas for the digital asset initiatives, the Division encourages market participants to reflect upon their own practices, policies and procedures, as ...
Warf recalls nurses waking him to say, “‘we’re taking you to the ICU,’ which, of course, scared me to death”
Having P&Ps in place give staff direction, make them feel safer and can mitigate a firm’s risks. However, making a COVID vaccine a condition of ...
It can get confusing to assign clients to certain categories when there are so many different terms, like “high-net worth individual,” “qualified purchaser,” “accredited investor” ...
Sideletter
SEC Acting Chair Allison Herren Lee has ordered the Commission to take two procedural steps advocates see as a sign that Wall Street has a ...
Tips include to take a sampling of senior clients and check to see if reps are putting notes in your CRM to document their most ...
Robinhood CEO Vladimir Tenev says his firm shut down GameStop trading on his site because it was worried about “risk.” “At approximately 5:11 a.m. EST ...
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