Broker-Dealers

Moving is always a hassle. It doesn’t get any easier when an investment adviser decides to rid itself of a long-time custodian and segue to ...

The total assets of the now 3,340 broker-dealers grew by $1.7 trillion over the past 14 years

The Reg S-P issue stemmed from failing to notify insurance carriers when certain registered reps left the firm

The June 25 Commission action shifts the compliance deadline from December 31 to June 30, 2026

FinCEN issues order prohibiting "covered financial institutions" from engaging in any transmittals of funds to or from three Mexico-based financial institutions

Under settlement, firm will need to retain an independent consultant to review Bank Secrecy Act compliance

The SEC extends the compliance date for amendments requiring certain broker-dealers to perform daily reserve computations and make required deposits into their reserve bank accounts ...

This paper examines registered broker-dealers and their activities from 2010-2024, and provides an analysis of the industry, structure of activity of different types of broker-dealers, ...

The SRO is monitoring data requests and procedures to make sure they are not "beyond what we should be asking for"

FINRA Board of Governors approves rule proposals concerning public communications and carrying agreements