Broker-Dealers

"My deepest concerns, however, remain squarely in the realms of liberty and privacy. Regulators need to be able to oversee the markets, but appropriate limits ...

Trading and Markets staff statement provides greater clarity on the application of the federal securities laws to activities involving crypto asset securities

Tokenized securities and Reg NMS reform are two areas of current focus for Trading and Markets division

B-D was charged for failing to maintain a supervisory system reasonably designed to achieve compliance with rules prohibiting manipulative trading

Under the conditional exemptive relief, a BD-FCM would be permitted to hold eligible U.S. Treasuries and the customer assets used to margin, secure, or guarantee ...

This notice alerts that B-Ds may include a debit in the customer protection rule reserve computations when depositing cash, U.S. Treasury securities, and/or qualified customer ...

"Crypto is forcing the Commission to confront its inner demons that have driven it toward ever more expansive readings of the securities laws"

The guidance recommends B-Ds set up compliance P&Ps related to "the operation of the Covered User Interface" as well as to maintain relevant books and ...

This latest FinCEN AML proposal isn't directed at investment advisers, but would affect broker-dealers and other financial firms. You have until June 9 to comment

FinCEN and OFAC propose this rule suggesting compliance requirements tied to the recent GENIUS Act's approval of Stablecoins. You have until June 9 to comment