Broker-Dealers

FINRA is seeking a list identifying each crypto-related communication provided and firms WSPs

Small-cap IPOs are increasingly being affected by the "ramp-and-dump" schemes

New guidance covers the perceived benefits, common types of succession plans, an overview of related rules and questions to consider

Positions resulting from stock loan activity are not considered reportable under rule 4560 as short interest by the SRO

Issues with how broker-dealers' identified venues, classified orders, and calculated net rebates flagged by the SEC

FINRA changes to the regulatory element and the firm element come with a Jan. 1 effective date

"Registration of government securities brokers and dealers means that market participants must, among other requirements, keep important books and records, meet minimum capital requirements, and ...

EXAMS encourages broker-dealers to review their policies and procedures related to the new and enhanced information requirements under Rule 606 and reevaluate the accuracy and ...

FINRA initiative is aimed at saving time, reducing costs and aiding in risk management for broker-dealers' compliance and legal staff

The SEC adopts amendments to the recordkeeping rules applicable to broker-dealers, security-based swap dealers, and major security-based swap participants