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Broker-Dealers

IT professionals across the financial services industry are taxed to the max
Broker-dealers and even investment advisers who are worried about complying with European research rules that conflict with American law shouldn’t wait to get their affairs ...
BMA Securities violated the rule on hundreds of occasions by failing to close out allocated fail to deliver positions
Sweep is the first announced by the SRO in 2020
For the fourth straight year, AML tops the list
Eight new FAQs cover six core areas
Adjusting or building upon current systems of supervision/compliance an option
Look for the regulations to be enforced after Sept. 1
Two years after proposal, FINRA appears no closer to finalizing OBA rules
FINRA rules limit offering and organization expenses
The SEC has settled 15 ADR pre-release cases
FINRA was lauded for its effort to protect vulnerable adults
Rule includes an interpretation addressing the application of the portfolio reconciliation, portfolio compression, and trading relationship documentation requirements to cross-border security-based swap activities
The Commission is providing guidance regarding the application of certain uses of the terms ‘‘arranged’’ and ‘‘negotiated’’
The exam overhaul has officially launched
Some firms have concluded wires are more trouble than they are worth
B-D agrees to pay $1.25 million penalty
A Private Investment Fund or Privately-offered RIC should not be deemed to be "narrowly held"
B-Ds taping procedures found to be lacking
UITs have again become a source of pain
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