Broker-Dealers

B-D has 90 days to certify, among other things, that it has remediated issues tied to the evaluation of disclosed outside business activities

SRO to file new proposed rule changes with the SEC tied to making e-delivery the default method for delivering customer communications

Arbitration cases filed on or after March 30 could be accelerated for parties who qualify based on their age or health condition

Broker-dealer charged with failing to reasonably supervise its employees' business-related text messages

FINRA exec shares details on different types of AI agents that the financial services industry is beginning to implement

Firms will pay $1.1 million fine for having supervisory systems that were not reasonably designed to achieve compliance with Securities Act section 5

FINRA cautions that firms should recognize, and take action to address, red flags of improper unregistered distributions of securities

Study billed as offering "insights into the attitudes, behaviors, knowledge and experiences of U.S. retail investors"

Study reveqals that just over a third (34%) of the U.S. population has investments in stocks, bonds, mutual funds or other securities outside retirement accounts

Report calls out potential risks, including lack of qualifications or conflicts of interest, when using social media finfluencers