Broker-Dealers

Regulators release a new exams handbook, a closer look at Enforcement's manual, the SEC has proposed new custody rules to make room for crypto and ...

"Innovation Exemption" seen as "important first step" toward bringing America's capital markets into the digital age

SEC charged firm with continually failing to remediate deficiencies even after they were repeatedly flagged By Division of Examinations staff

Trust the process, the SEC's enforcement division chief says, the SEC valuations sweep has reached closed-end funds and now covers nearly every corner of private ...

A new SEC risk alert warns fund managers to pay closer attention to their annual compliance reviews, AI’s risks multiply, a San Diego adviser gets ...

Dual registrant failed to make required quarterly Form 13F filings for over four years

The SEC moves to scrap its ‘pay-to-play’ rule, your peers are jumping on the AI train, examiners zero in on an investment adviser’s clients, FINRA ...

The change to an automated trade surveillance tool and the updating of WSPs has since been implemented

FinCEN could waive $15 million for expenses tied to remediation of AML program deficiencies

Whistleblower advocates call for rules update, examiners nudge broker-dealers and transfer agents on database searches and recordkeeping, the SEC and CFTC kick the Form PF ...