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Broker-Dealers

Rule 15c3-l, promulgated thereunder (the “net capital rule”), requires that a broker-dealer “at all times have and maintain net capital” no less than the greatest ...
This is the third municipal bond offerings case in four months
The Commission is adopting amendments to Rule 15c2-11, which sets out certain requirements for a broker-dealer seeking to initiate (or resume) quotations for securities in ...
Proceeding in contravention of your own WSPs can prove costly
Concerns expressed about expanding required learning to all registered persons
B-Ds supervisory systems and WSPs will be examined
Merely reciting the applicable rules heads the list
Federal officials have opened a criminal investigation into the founder of a Florida private fund adviser accused of bilking ailing former football stars out of ...
The final rule defines the term covered broker or dealer as ‘‘a covered financial company that is a qualified broker or dealer’’
At the time he was fired, Tropiano was married to the daughter of Respondent. Tropiano went to see Respondent, his father-in-law, for advice on finding ...
he aim is a more secure CAT, operating without sensitive PII
The start of equities and options reporting has commenced
FAQ tackles how new realities play with rules pertaining to gifts and entertainment
Fraudsters are using the names of registered reps to establish imposter websites
By the time you finish reading this story, three more of your fellow humans will have developed Alzheimer’s disease. More than 50 million people around ...
Pizzuti was associated with other broker-dealers registered with the Commission, some of which were also registered as investment advisers
The suit is a bid to invalidate an order allowing MAs' to arrange private placements without registering as B-Ds
A portion of the website links to an illegitimate registration site
Investment advisers and broker-dealers should take extra steps to make sure they’re validating investors’ identities and the authenticity of disbursement instructions, and have “a trusted ...
The serves to remind that compliance staff have a role in the entire process of statutory disqualification
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