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Broker-Dealers

SEC to be remote through Jan. 3, sources say
One in five deficiencies linked to suitability, NASAA says
Fraud spanned globe, feds claim
How firms manage their obligations related to information collected from acquired customers is also being sought
The extension will now automatically sunset on June 30, 2022
Oseas Zuluaga knew, or should have known, that Revere’s proprietary holdings should have been included in the calculation of Revere’s net capital
Coda did not always provide its subscribers with information indicating where their orders had been routed or executed
Cloud computing is transforming how broker-dealers operate by providing opportunities
Many firms called out importance of well-designed governance policies that lay out roles, processes, standards and accountability
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