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Broker-Dealers

The focus areas for the DOE's exams tied to digital assets going forward are revealed
Broker-dealer custody of digital asset securities raises certain compliance questions with respect to the Customer Protection Rule
A California Democrat is promising legislation by the end of the year that he says will target order flow arbitrage in the markets. Rep. Brad ...
The court-appointed monitor in the ongoing SEC case against GPB Capital is turning to a veteran Washington, D.C. fixer to help clean things up, RCW ...
Commissioner suggests best way to address potential conflict is not to ban practice but require better disclosure
The move to T+2 in 2017 came with the requirement to evaluate a shorter settlement cycle within three years
Robinhood CEO Vladimir Tenev says his firm shut down GameStop trading on his site because it was worried about “risk.” “At approximately 5:11 a.m. EST ...
Focus areas are detection. monitoring, suspicious activity report filing and fraud reporting
New regulatory notice calls out B-Ds risks and requirements, identifies "red flags"
B-Ds that conduct a substantial securities business and thus are in a position to potentially pose significant risk to investors and to the fair, orderly, ...
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