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(a) This section shall apply to every broker or dealer registered with the Commission pursuant to section 15 of the Act. (b)(1) Every broker or ...
It shall be unlawful for any person to make any contract for the purchase or sale of any commodity for future delivery on or subject ...
(a) Every security-based swap data repository shall make and keep current the following books and records relating to its business: (1) A record for each ...
This case claims that at least three customers were taken by a defendant who claimed that he was a licensed broker when in reality his ...
It’s not likely that sensitive data you share with the SEC could get out to the public, but a best practice would be to follow ...
You now have a second chance to weigh in on FINRA’s controversial Comprehensive Automated Risk Data System. The SRO is now seeking comment on a ...
The Investment Advisers Act of 1940Section 204 -- Reports by Investment Advisers Every investment adviser who makes use of the mails or of any means ...
The fallout from the 2008 collapse of Lehman Brothers continues. This time the cost is $15 million—the penalty Barclays Capital ($12.9B in AUM) will pay ...
It can bewilder compliance officers to ensure their firm complies with multiple rules. Extrapolate that challenge ten-fold should the many rules come from more than ...