Broker-Dealers

rading and Markets is concerned about illicit activities involving low-priced securities transactions

The SRO seeks five key items via its information request letter

Nearly 16% of firms with a branch office reported having more than five other offices

The Commission is proposing to issue an order granting conditional exemptive relief to SEC-registered clearing agencies also registered with the Commodity Futures Trading Commission as ...

Firms will be required to address registered persons being named as beneficiaries or holding positions of trust for customers come Feb. 15

To be eligible for the exemption, the registered security-based swap dealer must comply with two relevant conditions to the parallel exemption from broker registration in ...

"The Commissions request comment on all aspects of the portfolio margining of uncleared swaps and non-cleared security-based swaps, including on the merits"

Two SEC commissioners believe six-month relief for non-compliance presents unacceptable risk to investors

"It should not provide a grace period for compliance with clear violations of law -- especially violations that put investor funds directly at risk.  Here, ...

SRO says "a key element in any firm's cybersecurity program is a robust authentication process"