Broker-Dealers

Regulators want funds to know there's nowhere to hide

FINRA enforcement action follows on prior exam sweep and sweep update

Broker-dealer implements numerous steps to improve system for approving customers for options trading in wake of enforcement action

The SEC proposes a new rule and form and amendments to existing recordkeeping rules to require broker-dealers, clearing agencies, major security-based swap participants, the Municipal ...

Broker-dealer with a business focus on trading in microcaps only filed two SARs in just over two years

Cambria opened an account for a customer even though Cambria was aware of numerous red flags as identified in its WSPs as a result of ...

FINRA provides practices firms may want to consider when evaluating their social media influencer programs and privacy obligations

FINRA's five new focus areas are financial crimes, manipulative trading, fixed income/fair pricing, fractional shares, and Reg SHO

The rulebook is designed to enhance broker-dealers' compliance efforts, reduce costs and aid in risk management

T+1 will become a reality in May 2024 after 3-2 Commission vote