Broker-Dealers

Although Laidlaw had monitoring procedures to detect potential violations by reps of the quantitative prong of the Care Obligation, Laidlaw did not reasonably maintain and ...

Respondents employed a strategy of taking quick profits on part of a particular securities position resulting in frequent trade recommendations in these accounts .... As ...

Broker-dealers could optionally leverage catalog to administer education and training for their continuing education firm element programs

Broker-dealer failed to disclose that "a number of its financial professionals" had a legal or disciplinary history

The Commission's 2024 examination priorities report reveals that examiners will be scrutinizing the content of a broker-dealer's relationship summary

The Commission's move was prompted by a rulemaking petition submitted after the SEC's 2020 adoption of rule 15c2-11 amendments

Effective Nov. 30 FINRA is discontinuing the collection of data under rule 4540 used in the Integrated National Surveillance and Information Technology Enhancements program

Commissioner characterized the penalties associated with off-channel communications-related enforcement actions as "astonishing"

FINRA enforcement action flags need to require multi-factor authentication for third-party service providers

The SEC finalizes this rule that will increase the transparency and efficiency of the securities lending market by requiring certain persons to report information about ...